Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Nelson is a financial advisor who is registered with the Financial Industry Regulatory Authority (FINRA) and the state of New York. Dennis is currently employed by Icapital Markets LLC and previously worked at ICAPITAL SECURITIES, LLC and UBS FINANCIAL SERVICES INC. Dennis has been in the financial industry for over 3 years. They hold Series 7, 66 and SIE licenses. They are registered with FINRA and the states of Connecticut and New York.
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.
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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2
NY
11/30/2023 - Present
Icapital Markets LLC (NEW YORK NY)
NY
05/28/2021 - 11/30/2023
ICAPITAL SECURITIES, LLC (NEW YORK NY)
NY
03/02/2020 - 02/22/2021
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
BOTH
Issued 06/24/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/02/2020
Series 7TO - General Securities Representative Examination
BC
Issued 11/18/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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