Dennis L. Tumminia
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 Louis Tumminia was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1978. Dennis had worked at 6 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
December 14, 2006 - March 5, 2012
QUEST SECURITIES, INC.
June 22, 2004 - December 31, 2006
PRINCIPAL SECURITIES, INC.
June 5, 2002 - April 8, 2003
GBS RETIREMENT SERVICES, INC.
April 20, 2000 - January 31, 2002
PRINCIPAL SECURITIES, INC.
April 16, 1998 - April 12, 2000
PRINCIPAL SECURITIES, INC.
February 23, 1995 - December 10, 1997
OSAIC FA, INC.
March 3, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 6, 1978 - December 31, 1993
OSAIC FA, INC.
April 6, 1978 - December 10, 1997
THE LINCOLN NATIONAL LIFE INSURANCE 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: 3/23/1978
Registered Representative ExaminationCurrent Firm
QUEST SECURITIES, INC.
CRD#: 6828 / SEC#: , 8-18273
Contact information
Red Flags
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