Dean S. Sterrett
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.
Dean Stafford Sterrett, who also goes by Dean Sterrett, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 2018. Dean had worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2020 - July 15, 2022
LEX
December 3, 2018 - February 22, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 2/21/2020
Investment Banking Registered Representative ExaminationCurrent Firm
LEX
CRD#: 304601 / SEC#: , 8-70411
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
