Dennis W. Maloney
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 William Maloney was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1981. Dennis had worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 30, 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
June 28, 2001 - April 3, 2023
SOGOTRADE, INC.
March 5, 1993 - June 12, 2001
GLOBAL ACCESS FINANCIAL SERVICES
January 31, 1990 - October 16, 1992
OSAIC FS, INC.
January 3, 1989 - January 19, 1990
LEHMAN BROTHERS INC.
June 25, 1985 - January 17, 1989
SIGNATOR INVESTORS, INC.
April 21, 1983 - January 17, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 18, 1981 - June 4, 1985
NATHAN & LEWIS 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
SOGOTRADE, INC.
CRD#: 17912 / SEC#: , 8-35930
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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