Denis W. Deslauriers
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.
Denis Wilfrid Deslauriers, who also goes by Denis W Deslauriers, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1978. Denis had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
February 14, 2013 - December 31, 2016
THE LEADERS GROUP, INC.
June 1, 2009 - February 7, 2013
MORGAN STANLEY
November 1, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 9, 1993 - April 12, 1994
HORNOR, TOWNSEND & KENT, LLC
March 13, 1990 - February 22, 1995
INVESTMENT PLANNERS, INC.
February 15, 1988 - September 23, 1989
LEHMAN BROTHERS INC.
February 10, 1982 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 27, 1978 - February 5, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 27, 1978 - February 5, 1982
MONY SECURITIES CORPORATION
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: 9/19/1978
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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