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Dennis Michael Miner

Pickwick Capital Partners, LLC

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About Dennis Michael Miner

Dennis Miner has been working in the financial services industry since April 2002. Currently, Dennis is a registered representative with Pickwick Capital Partners, LLC based in Boston, MA. Prior to Pickwick Capital Partners, LLC, Dennis was employed by SPEARHEAD CAPITAL, LLC, Donaldson, Lufkin & Jenrette Securities Corporation, CS First Boston Corporation, Smith Barney, Harris Upham & Co., Incorporated and Kidder, Peabody & Co. Incorporated. Dennis is a Series 3, 7, 24, 50 and 63 licensed professional.

Firm Information

Dennis Miner is currently registered with Pickwick Capital Partners, LLC. Pickwick Capital Partners, LLC is a Limited Liability Company formed in August 2007. The firm is registered with the SEC and 43 states.

Not reported

Assets Under Management

Not reported

Total Clients

107

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Dennis Miner’s Registration & Firm History

MA

02/13/2017 - Present

Pickwick Capital Partners, LLC (Boston MA)

NY

04/25/2016 - 12/22/2016

SPEARHEAD CAPITAL, LLC (New York NY)

NJ

06/07/1994 - 11/06/2002

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

06/03/1993 - 06/07/1994

CS FIRST BOSTON CORPORATION (NEW YORK NY)

NY

01/12/1989 - 06/11/1993

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

NA

08/23/1988 - 01/03/1989

KIDDER, PEABODY & CO. INCORPORATED

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Licenses & Designations

BC

Issued 05/11/2016

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 09/24/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/14/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/06/2017

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 04/25/2016

Series 7 - General Securities Representative Examination

BC

Issued 09/16/1993

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for Dennis Michael Miner. Review regulatory record here.
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