Herbert A. Denton
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.
Herbert Anderson Denton, who also goes by Bert Denton, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1972. Herbert had worked at 7 firms and has passed the Series 63, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 1991 - March 3, 2009
PROVIDENCE CAPITAL, INC.
January 16, 1987 - June 21, 1991
JEFFERIES LLC
October 14, 1985 - January 19, 1987
PACIFIC AMERICAN EQUITY, INC.
March 10, 1978 - September 16, 1982
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
November 1, 1977 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
July 3, 1972 - November 11, 1977
WHITE, WELD & CO. INCORPORATED
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: 6/20/1972
Registered Representative ExaminationSeries 40
Date: 12/13/1976
Registered Principal ExaminationCurrent Firm
PROVIDENCE CAPITAL, INC.
CRD#: 27928 / SEC#: , 8-43314
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DENTON, HERBERT ANDERSON | PRESIDENT/ CHIEF COMPLIANCE OFFICER | 65635 |
| MOREY, GREGORY MICHAEL | SHAREHOLDER | |
| SCHAFRAN, LARRY G. | MANAGING DIRECTOR |
Disclosures
| Regulatory Event | 4 |
Red Flags
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