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DR

Dennis J. Rutter

AMA SECURITIES LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 7609850
DR

Professional summary

Dennis John Rutter, who also goes by Dennis Rutter, is a registered financial professional currently at AMA SECURITIES LLC located in Stamford, Connecticut.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2022. Dennis has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis Rutter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dennis John Rutter's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 28, 2022 - Present

AMA SECURITIES LLC

Office #1: 484 Pacific Street 3rd Floor, Stamford, CT 06902Office #2: 484 Pacific Street 3rd Floor, Stamford, CT 06902
BD
CRD#: 45988
Stamford, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/28/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/7/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AMA SECURITIES LLC
AMA SECURITIES INC. | WEB CD SECURITIES, INC. | PARADIGM INTERNATIONAL SECURITIES, INC. | OPTIMIZEUSA SECURITIES INC. | IDC SECURITIES CORP.(SR) | IDC SECURITIES CORP. | IDC SECURITES CORP. | AMA SECURITIES LLC

CRD#: 45988 / SEC#: , 8-51263

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
484 Pacific Street 3rd Floor, Stamford, CT 06902
Mailing Address
484 Pacific Street 3rd Floor, Stamford, CT 06902
Phone number
(212) 682-3344
Established
New York since 07/02/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMA CP HOLDINGS LLCSHAREHOLDER
BARENBOIM, LEONARDCCO1523181
GEORGE, KENNETH RONALDFINOP2643369
WEYERS, CHRISTOPHER JAMESCEO4084201

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.

Company Information

AMA SECURITIES LLC

CRD#: 45988Stamford, CT 06902

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