Dennis M. Nakamura
Professional summary
Dennis Masaaki Nakamura was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Dennis had worked at 9 firms, which includes MCNALLY FINANCIAL SERVICES CORPORATION, JHS CAPITAL ADVISORS LLC, STERLING FINANCIAL INVESTMENT GROUP INC., ROUND HILL SECURITIES INC., FIRST AFFILIATED SECURITIES, CITIGROUP GLOBAL MARKETS INC., EXECUTIVE FINANCIAL SERVICES INC., EMMETT A LARKIN COMPANY INC., 1717 CAPITAL MANAGEMENT COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2010 - October 7, 2019
MCNALLY FINANCIAL SERVICES CORPORATION
September 23, 2005 - September 7, 2010
JHS CAPITAL ADVISORS, LLC
August 20, 2001 - September 23, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
October 20, 1994 - August 17, 2001
ROUND HILL SECURITIES, INC.
March 2, 1990 - October 12, 1994
FIRST AFFILIATED SECURITIES
September 26, 1986 - March 8, 1990
CITIGROUP GLOBAL MARKETS INC.
February 23, 1983 - September 24, 1986
EXECUTIVE FINANCIAL SERVICES, INC.
January 21, 1982 - May 20, 1983
EMMETT A LARKIN COMPANY, INC.
March 16, 1976 - January 19, 1982
1717 CAPITAL MANAGEMENT COMPANY
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 1
Date: 3/11/1976
Registered Representative ExaminationCurrent Firm
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
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.
