Dominick C. Senna
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.
Dominick C Senna, CFP®, who also goes by Clement Dominick Senna, Clement Senna, Dominick Senna, was a registered financial professional .
Dominick is a previously registered financial professional and started their career in finance in 1979. Dominick had worked at 13 firms and has passed the Series 63, Series 7TO, 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 28, 2020 - December 31, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 28, 2020 - December 31, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 8, 2017 - March 5, 2020
SECURITIES AMERICA ADVISORS, INC.
October 25, 2017 - March 5, 2020
SECURITIES AMERICA, INC.
February 4, 2013 - October 27, 2017
NATIONAL PLANNING CORPORATION
March 8, 2012 - October 27, 2017
NATIONAL PLANNING CORPORATION
May 21, 2004 - January 31, 2012
KOVACK SECURITIES INC.
March 6, 1998 - May 25, 2004
MAIN STREET MANAGEMENT COMPANY
February 9, 1998 - May 25, 2004
MAIN STREET MANAGEMENT COMPANY
December 24, 1991 - December 31, 1997
TITAN/VALUE EQUITIES GROUP, INC.
October 10, 1988 - October 18, 1991
SHEEN FINANCIAL RESOURCES, INC.
March 10, 1988 - October 10, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
April 25, 1986 - December 21, 1987
DOMIK CORP.
December 23, 1981 - March 27, 1986
MORGAN STANLEY DW INC.
July 27, 1979 - December 23, 1981
PENNSYLVANIA SECURITIES COMPANY
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 1
Date: 7/23/1979
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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