Dennis M. Crimmins
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 M Crimmins was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2003. Dennis had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2011 - October 23, 2012
ROCKWELL GLOBAL CAPITAL LLC
December 4, 2009 - November 3, 2011
GARDEN STATE SECURITIES, INC.
May 8, 2008 - August 19, 2009
NATIONAL SECURITIES CORPORATION
September 5, 2003 - May 2, 2008
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
