Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Richard Kaffel is a registered representative with Western International Securities, Inc. Dennis has been working in the financial industry since 1969. Dennis has a diverse background, having worked for several prominent firms including Bear, Stearns & Co. Inc., Josephthal Lyon & Ross Incorporated, and Merrill Lynch. Dennis holds both FINRA Series 66 and 63 licenses. Dennis's expertise is in the financial planning, pension consulting, and selection of other advisers areas.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
08/06/2021 - Present
Western International Securities, Inc. (Massapequa NY)
NY
01/24/2002 - 10/30/2015
BRILL SECURITIES, INC. (NEW YORK NY)
NY
05/09/1995 - 02/06/2002
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
10/12/1991 - 05/19/1995
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NA
04/18/1990 - 10/23/1991
JOSEPHTHAL & CO., INC.
NY
02/08/1988 - 04/24/1990
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NA
10/07/1977 - 02/18/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
04/22/1975 - 10/30/1977
BEAR, STEARNS & CO.
NA
04/24/1972 - 05/09/1975
MERRIL LYNCH PIERCE FINNER & SMITH
NA
07/09/1971 - 04/01/1972
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
10/22/1969 - 06/28/1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BOTH
Issued 10/28/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1978
PC - AMEX Put and Call Exam
BC
Issued 10/21/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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