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Dennis J. Powell

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CRD#: 602118
DP

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

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 14, 2010 - January 31, 2012

TICONDEROGA SECURITIES LLC

BD
CRD#: 7671
NEW YORK, NY
Past

April 1, 2003 - February 8, 2010

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
NEW YORK, NY
Past

March 19, 2002 - March 31, 2003

KEVIN DANN & PARTNERS, LLC

BD
CRD#: 113591
NEW YORK, NY
Past

March 1, 2002 - March 4, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

April 30, 2001 - March 1, 2002

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

January 2, 1997 - April 30, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

January 4, 1995 - January 2, 1997

THE CHICAGO CORPORATION

BD
CRD#: 1449
CHICAGO, IL
Past

May 19, 1978 - January 11, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

April 6, 1976 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488
Past

January 22, 1970 - March 1, 1976

BUTCHER & SINGER INC.

BD
CRD#: 6517

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 8/15/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/19/1970
Registered Representative Examination

Current Firm

TS
TICONDEROGA SECURITIES LLC
PARKER, ALEXANDER & CO. INCORPORATED | TICONDEROGA SECURITIES LLC | RG DISCOUNT BROKERAGE SERVICES INC. | REYNDERS, GRAY & CO., INCORPORATED

CRD#: 7671 / SEC#: , 8-22871

BD
Terminated by SEC on 04/02/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
REYNDERS, GRAY HOLDINGS, INCORPORATEDPARENT COMPANY
MCLOUGHLIN, SHAWN DAMIENCEO/DIRECTOR1665431
MULLIN, JOHN BRIANCFO2792364
PLASCO, JOEL DARRENCHAIRMAN3220164
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event7

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.

Company Information

TICONDEROGA SECURITIES LLC

CRD#: 7671

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