Dennis J. Marlin
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 James Marlin was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 9 firms and has passed the Series 63, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2013 - October 18, 2013
COHEN & COMPANY SECURITIES, LLC
April 23, 2012 - April 2, 2013
CONTINENTAL INVESTORS SERVICES, INC.
January 5, 2010 - April 16, 2012
FIRST SOUTHWEST COMPANY, LLC
July 9, 2008 - January 4, 2010
CONTINENTAL INVESTORS SERVICES, INC.
May 1, 2007 - July 8, 2008
HARVESTONS SECURITIES, INC.
July 16, 1999 - March 29, 2006
ADVISORS ASSET MANAGEMENT, INC.
May 12, 1993 - January 8, 1999
ASSOCIATED BOND BROKERS, INC.
July 15, 1991 - May 25, 1993
ACS MUNICIPAL BROKERS, INC.
February 13, 1985 - May 7, 1987
G.I.M.B. MUNICIPAL SECURITIES BROKER
August 2, 1983 - January 16, 1985
TITUS & DONNELLY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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