Dennis A. Earles
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 Alfrey Earles JR was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1971. Dennis had worked at 16 firms and has passed the Series 63, Series 24, Series 40 and Series 00 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, 2001 - December 5, 2011
MESIROW FINANCIAL, INC.
March 2, 1999 - January 2, 2001
SUNCOAST CAPITAL GROUP, LTD.
June 17, 1998 - February 2, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 21, 1994 - May 27, 1998
GRUNTAL & CO., L.L.C.
January 9, 1989 - January 18, 1995
GMS GROUP
November 27, 1985 - December 31, 1988
MOORE & SCHLEY, CAMERON & CO.
November 27, 1985 - January 18, 1995
GMS GROUP
September 17, 1985 - October 7, 1985
L.A. BOYKIN & ASSOCIATES, INC.
March 2, 1983 - July 24, 1985
JM DISSOLUTION, INC.
April 6, 1982 - February 2, 1983
E.V.I. GROUP LIMITED, INC.
April 10, 1981 - March 23, 1982
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
February 6, 1981 - April 26, 1981
MUNICIPAL SECURITIES, INCORPORATED
December 21, 1979 - January 18, 1981
UMIC, INC.
October 19, 1978 - January 18, 1980
LADENBURG THALMANN & CO. INC.
May 25, 1977 - November 12, 1978
G. WEEKS & CO., INC.
December 21, 1976 - July 15, 1977
CARTY, HARDING & HEARN, INC.
October 13, 1971 - December 21, 1976
SELLERS INVESTMENT COMPANY, INCORPORATED
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 40
Date: 12/19/1976
Registered Principal ExaminationSeries 00
Date: 9/10/1971
General Securities Principal ExaminationCurrent Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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.
