Dennis A. Burks
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 Alton Burks was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1980. Dennis had worked at 16 firms and has passed the Series 63, Series 7, Series 4 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
May 22, 1998 - October 9, 2000
EDI FINANCIAL, INC.
March 18, 1998 - April 28, 1998
FSC SECURITIES CORPORATION
April 29, 1997 - March 18, 1998
CRISPIN KOEHLER SECURITIES
August 19, 1991 - April 21, 1997
SHAMROCK PARTNERS, LTD
April 30, 1990 - November 9, 1990
SHAMROCK PARTNERS, LTD
June 6, 1989 - September 18, 1989
KOCHCAPITAL
April 18, 1989 - July 10, 1989
FLEMMING, ANDERSON, COHEN & LEE, INC.
February 22, 1989 - June 23, 1989
J. B. STERLING CORP. (INVESTMENT SECURITIES)
September 11, 1986 - January 29, 1990
KOBER FINANCIAL CORP.
July 15, 1985 - July 23, 1987
HICKEY, KOBER, INCORPORATED
May 4, 1984 - August 13, 1984
WILLIAM BARTON FINANCIAL, INC.
January 23, 1984 - May 29, 1984
FITZGERALD, TALMAN, INC.
June 24, 1983 - February 2, 1984
BUCKINGHAM SECURITIES, LTD.
November 17, 1982 - May 23, 1983
PAULSON INVESTMENT COMPANY LLC
September 2, 1982 - September 13, 1982
WALL STREET WEST, INC.
February 11, 1982 - August 5, 1982
MORGAN STANLEY DW INC.
June 6, 1980 - January 19, 1982
WALL STREET WEST, INC.
March 21, 1980 - July 2, 1980
AMERICAN WESTERN SECURITIES, 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
EDI FINANCIAL, INC.
CRD#: 15699 / SEC#: , 8-32566
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
