Dennis J. Powell
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 Powell was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1970. Dennis had worked at 9 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2010 - January 31, 2012
TICONDEROGA SECURITIES LLC
April 1, 2003 - February 8, 2010
FTN EQUITY CAPITAL MARKETS CORP.
March 19, 2002 - March 31, 2003
KEVIN DANN & PARTNERS, LLC
March 1, 2002 - March 4, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
January 2, 1997 - April 30, 2001
ABN AMRO INCORPORATED
January 4, 1995 - January 2, 1997
THE CHICAGO CORPORATION
May 19, 1978 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
April 6, 1976 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
January 22, 1970 - March 1, 1976
BUTCHER & SINGER INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 1/19/1970
Registered Representative ExaminationCurrent Firm
TICONDEROGA SECURITIES LLC
CRD#: 7671 / SEC#: , 8-22871
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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