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DG

Dennis L. Grossman

Some features on this profile are disabled
CRD#: 870170
DG

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 Lee Grossman was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1978. Dennis had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 18, 2010 - April 29, 2010

TRANSCEND CAPITAL

BD
CRD#: 104483
AUSTIN, TX
Past

June 27, 2001 - April 19, 2002

BROADWAY TRADING, LLC

BD
CRD#: 42429
NEW YORK, NY
Past

November 9, 1998 - September 15, 1999

SORT SECURITIES, LLC.

BD
CRD#: 44326
NEW YORK, NY
Past

June 9, 1998 - September 18, 1998

LANDMARK SECURITIES CORPORATION

BD
CRD#: 39506
HOUSTON, TX
Past

December 20, 1981 - December 31, 2009

GROSSMAN & CO., LLC.

BD
CRD#: 10222
DIX HILLS, NY
Past

June 9, 1981 - December 8, 1981

DOMIK CORP.

BD
CRD#: 223
Past

October 21, 1978 - November 29, 1981

SAM SKURNICK

BD
CRD#: 6491

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/15/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/21/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/14/1991
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/21/1984
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/1981
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/25/1979
Registered Options Principal Examination

Current Firm

TC
TRANSCEND CAPITAL
PROTRADER.COM, LP | TRANSCEND CAPITAL, LP | TRANSCEND CAPITAL, LLC | TRANSCEND CAPITAL

CRD#: 104483 / SEC#: , 8-52946

BD
Terminated by SEC on 09/30/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 04/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRANSCEND CAPITAL MANAGEMENT, LLCMANAGING MEMBER
DENIO, MICHAEL EDWINPRESIDENT / CCO4167298
GOODIN, DIANE MARIEFINOP / CFO3117840
JONES, VERNON HUGH JR.CEO4316356
SWEARINGEN, BRADLEY JACOBCHIEF TECHNICAL OFFICER/CHIEF INFORMATION OFFICER4633976

Disclosures

Regulatory Event4

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.

Company Information

TRANSCEND CAPITAL

CRD#: 104483

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