Dennis K. Thompson
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 Keith Thompson was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1970. Dennis had worked at 13 firms and has passed the Series 63, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2004 - January 14, 2005
BRECEK & YOUNG ADVISORS, INC.
August 1, 1997 - March 30, 2004
MOMENTUM INDEPENDENT NETWORK INC.
February 2, 1993 - August 6, 1997
CULLUM & SANDOW SECURITIES, INC.
November 5, 1991 - February 9, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.
March 10, 1989 - October 8, 1991
MORGAN STANLEY DW INC.
July 20, 1988 - March 14, 1989
ANDERSON, BRYANT & CO.
January 3, 1980 - July 1, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
December 29, 1978 - January 1, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
July 18, 1977 - December 30, 1978
THE COLUMBIAN SECURITIES CORPORATION
October 15, 1976 - January 3, 1978
LUTHERAN BROTHERHOOD SECURITIES CORP.
May 2, 1975 - September 11, 1976
INDEPENDENT FINANCIAL PLANNERS CORPORATION
February 5, 1975 - April 3, 1975
WADDELL & REED
June 28, 1973 - July 28, 1974
AMERICAN PENSION INVESTMENTS, INC.
September 11, 1972 - August 20, 1973
WADDELL & REED
November 1, 1970 - May 5, 1972
INVESTMENT FUNDING CORPORATION
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: 9/21/1970
Registered Representative ExaminationCurrent Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
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.
