Dennis N. Vanauken
Professional summary
Dennis Nick Vanauken was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Dennis had worked at 12 firms, which includes MILLER JOHNSON STEICHEN KINNARD INC., WESTONKA INVESTMENTS INC., MATHEWS HOLMQUIST & ASSOCIATES INC., HEINER FINANCIAL SERVICES CORPORATION, HEINER & STOCK INC., HAYNE MILLER FINANCIAL INC., COLLIERS SECURITIES LLC, VAN CLEMENS & CO. INCORPORATED, MIDWEST DISCOUNT SECURITIES INC., MARGOLIS & CO. INC., JOHN G KINNARD AND COMPANY, DENIS MCCAULEY & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1995 - November 29, 1996
MILLER JOHNSON STEICHEN KINNARD, INC.
September 12, 1994 - January 4, 1995
WESTONKA INVESTMENTS, INC.
January 17, 1991 - August 9, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
May 2, 1988 - December 31, 1990
MILLER JOHNSON STEICHEN KINNARD, INC.
March 18, 1988 - April 20, 1988
HEINER FINANCIAL SERVICES CORPORATION
June 23, 1987 - April 19, 1988
HEINER & STOCK, INC.
September 26, 1986 - April 7, 1987
HAYNE, MILLER FINANCIAL, INC.
August 25, 1984 - December 31, 1990
MILLER JOHNSON STEICHEN KINNARD, INC.
August 20, 1982 - July 24, 1984
COLLIERS SECURITIES LLC
October 1, 1975 - August 20, 1982
VAN CLEMENS & CO. INCORPORATED
December 10, 1973 - October 22, 1975
MIDWEST DISCOUNT SECURITIES, INC.
March 12, 1973 - January 16, 1974
MARGOLIS & CO., INC.
January 22, 1973 - April 15, 1973
JOHN G KINNARD AND COMPANY
July 14, 1971 - January 31, 1975
DENIS MCCAULEY & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/8/1971
Registered Representative ExaminationSeries 00
Date: 7/3/1975
General Securities Principal ExaminationCurrent Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
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