Dennis L. Eap
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 Li Eap, who also goes by Dennis Sambo Eap, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2003. Dennis had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2011 - February 7, 2013
USAA FINANCIAL PLANNING SERVICES
May 19, 2011 - February 7, 2013
USAA FINANCIAL ADVISORS, INC.
July 12, 2010 - May 9, 2011
COMERICA SECURITIES
July 14, 2008 - May 9, 2011
COMERICA SECURITIES
August 1, 2006 - June 19, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 21, 2004 - October 17, 2005
ESSEX NATIONAL SECURITIES, LLC
November 10, 2003 - April 27, 2004
NYLIFE SECURITIES 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
USAA FINANCIAL PLANNING SERVICES
CRD#: 106352 / SEC#: 801-53347
Contact information
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.
