Dennis S. Herula
Professional summary
Dennis Stanley Herula was barred by the SEC 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 1981. Prior to being barred, Dennis had worked at 16 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., BARRETT & COMPANY, WADDELL & REED, FIRST SECURITY INVESTMENTS INC., H.J. MEYERS & CO. INC., HILLTOP SECURITIES INC., HARRIS WEBB & GARRISON INC., MORGAN STANLEY DW INC., WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC., RAUSCHER PIERCE REFSNES INC., PHILIP LAYNE & CO. INC., CIBC WORLD MARKETS CORP., UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1999 - January 4, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 30, 1998 - April 7, 1999
BARRETT & COMPANY
November 6, 1998 - November 30, 1998
WADDELL & REED
August 25, 1998 - November 6, 1998
FIRST SECURITY INVESTMENTS, INC.
April 29, 1998 - July 16, 1998
H.J. MEYERS & CO., INC.
July 11, 1997 - February 17, 1998
HILLTOP SECURITIES INC.
February 26, 1997 - June 16, 1997
HARRIS WEBB & GARRISON, INC.
October 10, 1995 - June 18, 1996
MORGAN STANLEY DW INC.
October 2, 1992 - September 22, 1995
WELLS FARGO CLEARING SERVICES, LLC
September 3, 1991 - October 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1990 - September 26, 1991
LEHMAN BROTHERS INC.
July 10, 1986 - September 29, 1986
RAUSCHER PIERCE REFSNES, INC.
July 15, 1985 - February 18, 1987
PHILIP LAYNE & CO., INC.
September 8, 1983 - January 11, 1985
CIBC WORLD MARKETS CORP.
January 11, 1982 - September 21, 1983
UBS FINANCIAL SERVICES INC.
October 22, 1981 - January 26, 1982
CITIGROUP GLOBAL MARKETS 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 8
Date: 11/24/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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