Dennis R. Schardt
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 Roger Schardt was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1980. Dennis had worked at 15 firms and has passed the Series 63, 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
March 7, 2003 - April 21, 2003
SIGNATOR INVESTORS, INC.
June 25, 1992 - June 4, 2002
METROPOLITAN LIFE INSURANCE COMPANY
June 25, 1992 - June 4, 2002
MSI FINANCIAL SERVICES, INC.
March 11, 1991 - July 25, 1991
PAULSON INVESTMENT COMPANY LLC
November 19, 1990 - February 21, 1991
SUNPOINT SECURITIES, INC.
July 28, 1989 - March 4, 1991
FIRST EAGLE, INC.
May 1, 1989 - July 25, 1989
FIRST AMERICA EQUITIES CORP.
January 30, 1989 - April 4, 1989
U.S. ADVISORS, INC.
November 16, 1988 - May 26, 1989
TRI-BRADLEY INVESTMENTS
September 6, 1988 - October 25, 1988
AMERICAN CAPITAL EQUITIES, INC.
January 13, 1988 - August 29, 1988
GRAYSTONE NASH, INC.
May 29, 1986 - November 20, 1987
THE STUART-JAMES COMPANY, INCORPORATED
April 14, 1983 - October 26, 1984
DEVANNEY, BURGIN, SHANACY, INC.
March 25, 1981 - March 19, 1986
UBS FINANCIAL SERVICES INC.
January 19, 1980 - April 3, 1981
E. F. HUTTON & COMPANY INC
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
Current Firm
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 1 |
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.
