Dennis F. Comey
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 Francis Comey III, who also goes by Dennis F Comey III, Dennis F Comey, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1980. Dennis had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2020 - January 17, 2023
DENNIS COMEY AND ASSOCIATES LLC
March 13, 2009 - November 15, 2017
RBC CAPITAL MARKETS, LLC
March 13, 2009 - November 15, 2017
RBC CAPITAL MARKETS, LLC
February 7, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
January 23, 1989 - March 13, 2009
FERRIS, BAKER WATTS, LLC
December 13, 1988 - January 4, 1989
FERRIS, BAKER WATTS, LLC
February 2, 1983 - December 23, 1988
INVEST FINANCIAL CORPORATION
November 20, 1981 - March 17, 1982
RAYMOND JAMES & ASSOCIATES, INC.
August 20, 1980 - November 25, 1981
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
DENNIS COMEY AND ASSOCIATES LLC
CRD#: 306213 / SEC#:
Contact information
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.
