Dennis L. Wolfarth
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis L. Wolfarth, who also goes by Denny Wolfarth, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2004. Dennis had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2019 - January 22, 2024
ALLEN C. EWING & CO.
January 15, 2016 - August 3, 2018
SITUS CAPITAL MANAGEMENT LLC
June 1, 2012 - December 31, 2015
HEED PARTNERS, LLC
January 9, 2009 - August 2, 2011
MORGAN KEEGAN & COMPANY, LLC
February 3, 2006 - May 13, 2009
VCAP SECURITIES, LLC
May 13, 2004 - May 20, 2005
FIG PARTNERS, LLC
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
Current Firm
ALLEN C. EWING & CO.
CRD#: 26102 / SEC#: , 8-42393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPHA STREET HOLDINGS LLC | HOLDING COMPANY | |
| JACKSON, DAVID WHITNEY JR | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1213535 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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