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Detailed Report
DENNIS MITCHELL FARRAH
CRD#: 2703960
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The SEC has barred this individual from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2002200420062008201020122014201620182020IASYMETRA INVESTMENT SERVICES, INC. (CRD# 19061)2003 - 2004 (1 year)IABRECEK & YOUNG ADVISORS, INC. (CRD# 40395)2001 - 2003 (2 years)
Disclosure(s)
View By:
3/9/2020
Regulatory
Final
6/18/2018
Regulatory
Final
1/31/2018
Regulatory
Final
Previous Registration(s)
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 04/11/2003 - 09/03/2004 SYMETRA INVESTMENT SERVICES, INC. (CRD#:19061) AURORA, CO
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 02/16/2001 - 03/14/2003 BRECEK & YOUNG ADVISORS, INC. (CRD#:40395) THORNTON, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.