Dennis J. Armstrong
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 James Armstrong was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1975. Dennis had worked at 12 firms and has passed the Series 63, PC 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
April 23, 2010 - December 31, 2012
SAXONY SECURITIES, INC.
June 20, 2006 - April 21, 2010
OSAIC WEALTH, INC.
November 25, 2003 - June 29, 2006
RYAN BECK & CO.
May 21, 2001 - November 18, 2003
JANNEY MONTGOMERY SCOTT LLC
July 1, 2000 - May 18, 2001
SANDERS MORRIS LLC
May 1, 1997 - July 1, 2000
BLACKFORD SECURITIES CORP.
September 9, 1994 - April 18, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - September 13, 1994
CITIGROUP GLOBAL MARKETS INC.
January 30, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
September 16, 1977 - February 8, 1986
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 25, 1975 - February 27, 1976
BACHE & CO., 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
PC
Date: 3/29/1995
AMEX Put and Call ExamCurrent Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
