Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Tom has been in the financial services industry since 2005. Dennis is currently registered with Keybanc Capital Markets Inc. in Chicago, Illinois. Dennis has held previous positions with BMO Capital Markets Corp., Guggenheim Securities, LLC, Barclays Capital Inc. and Lehman Brothers Inc. Dennis is a Series 7, Series 24, Series 63 and Series 14 licensed professional and has a SIE designation. Dennis is registered in Illinois 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
IL
04/13/2015 - Present
Keybanc Capital Markets Inc. (CHICAGO IL)
IL
05/30/2012 - 04/20/2015
BMO CAPITAL MARKETS CORP. (CHICAGO IL)
NY
04/03/2009 - 05/23/2012
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
09/22/2008 - 11/05/2008
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
10/06/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
11/10/2004 - 09/15/2006
FIRST INVESTORS CORPORATION (EDISON NJ)
BC
Issued 12/21/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/12/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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