Dennis P. Neumann
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 Paul Neumann, who also goes by D Paul Neumann, Paul Neumann, was a registered financial advisor .
Dennis is a previously registered financial advisor and started their career in finance in 1978. Dennis had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2006 - December 31, 2010
CETERA INVESTMENT SERVICES LLC
August 16, 2005 - October 18, 2016
CETERA INVESTMENT SERVICES LLC
June 13, 2003 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
May 31, 2001 - June 13, 2003
BANC ONE SECURITIES CORPORATION
March 22, 2001 - June 4, 2001
QUEST CAPITAL STRATEGIES, INC.
September 17, 1997 - March 20, 1998
FISERV INVESTOR SERVICES, INC.
June 10, 1996 - September 17, 1997
LINK INVESTMENT SERVICES, INC.
June 27, 1995 - June 11, 1996
LPL FINANCIAL LLC
March 13, 1995 - June 9, 1995
FOCUSED INVESTMENTS L.L.C.
December 3, 1990 - March 21, 1995
LPL FINANCIAL LLC
March 30, 1989 - November 16, 1990
MARKETING ONE SECURITIES, INC.
March 16, 1987 - March 11, 1989
CAPITAL BROKERAGE CORPORATION
November 21, 1986 - February 11, 1987
OBERWEIS SECURITIES, INC.
July 30, 1984 - May 2, 1987
VOYA FINANCIAL ADVISORS, INC.
March 31, 1983 - June 29, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
August 9, 1978 - February 3, 1982
NORTH AMERICAN MANAGEMENT, 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: 8/5/1978
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| 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.
