Robert A. Dennis

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CRD#: 838027

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.

Robert Alan Dennis, who also goes by Robert A Dennis, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 9 firms and has passed the SIE, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert A Dennis

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 1, 1999 - July 1, 2019

FIRST BROKERS SECURITIES LLC

CRD#: 27369

JERSEY CITY, NJ

Past

June 16, 1997 - November 23, 1999

MCFADDEN, FARRELL & SMITH, L.P.

CRD#: 26245

NEW YORK, NY

Past

January 3, 1995 - February 9, 1996

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

November 19, 1984 - June 3, 1994

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 27, 1984 - February 8, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

March 28, 1983 - April 3, 1984

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

December 28, 1978 - May 11, 1983

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 27, 1978 - July 7, 1987

MULLER AND COMPANY, INC.

CRD#: 2841

Past

February 24, 1978 - August 19, 1978

STERN, LAUER & CO.

CRD#: 3507

Past

June 1, 1977 - December 26, 1986

THE J.P. CABOT ORGANIZATION CORP.

CRD#: 454

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 5/21/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 5/21/1977

General Securities Representative Examination

Current Firm

FIRST BROKERS SECURITIES LLC

FIRST BROKERS SECURITIES LLC | JUPITER SECURITIES, A DIVISION OF FIRST BROKERS SECURITIES LLC | FIRST BROKERS SECURITIES, INC.

CRD#: 27369 / SEC#: , 8-43035

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311

Mailing Address

Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311

Phone number

(212) 513-4444

Established

Delaware since 11/19/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
AO-FIRST BROKERS, LLC	MEMBER
ICAP GLOBAL BROKING INC.	MEMBER
BERNARDO, SHAWN FRANCIS	DIRECTOR	2513376
DOWER, ROBERT HAROLD	DIRECTOR, CFO	1540678
GURKOVIC, CHRISTOPHER EMERICK	COO/CCO	2978797
OKEEFE, ANDREW JOHN	DIRECTOR, PRESIDENT AND CEO	1042045
SOLDIVIERO, LUCIANO MICHAEL	DIRECTOR	2487532

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Robert A. Dennis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MCFADDEN, FARRELL & SMITH, L.P.

CHASE SECURITIES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

E. F. HUTTON & COMPANY INC

ALEX. BROWN & SONS INCORPORATED

E. F. HUTTON & COMPANY INC

MULLER AND COMPANY, INC.

STERN, LAUER & CO.

THE J.P. CABOT ORGANIZATION CORP.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

PC

Date: 5/21/1977

Series 7

Date: 5/21/1977

Current Firm

FIRST BROKERS SECURITIES LLC

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST BROKERS SECURITIES LLC

TRUST BUT VERIFY

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