Dennis V. Rinner
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 Vernon Rinner, CFP® was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1977. Dennis had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1996 - April 8, 1997
LEGACY FINANCIAL SERVICES, INC.
June 30, 1993 - November 21, 1994
SPELMAN & CO., INC.
April 1, 1991 - July 17, 1991
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 1, 1991 - April 1, 1991
PW SECURITIES, INC.
January 18, 1988 - January 7, 1989
SPELMAN & CO., INC.
March 29, 1985 - March 29, 1988
OSAIC FS, INC.
February 16, 1983 - July 1, 1983
PETERSON, DIEHL & COMPANY, INC.
July 25, 1977 - June 9, 1982
WORLD CAPITAL BROKERAGE, 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 1
Date: 7/16/1977
Registered Representative ExaminationCurrent Firm
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
