Individual Firm
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DENNIS GEORGE DINE
DENNIS GEORGE DINE JR., DENNIS DINE, DENNY DINE, Dennis G Dine Jr
CRD#: 5605628
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 1 N. FRANKLIN ST
STE 3450
CHICAGO, IL 60606
STE 3450
CHICAGO, IL 60606
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4/21/2011
Regulatory
Final
10/3/1991
Criminal
Final Disposition
State Registrations
B
Illinois 1/23/2019
B
Minnesota 8/18/2022
IA
Illinois 1/29/2019
B
Washington 7/13/2021
B
Indiana 1/24/2019
B
Wisconsin 1/3/2019
B
Massachusetts 1/25/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/29/2019
B
Registered with this firm since 1/2/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/27/2016 - 11/16/2018 | LIBERTYVILLE, IL | |
B | 10/27/2016 - 11/16/2018 | LIBERTYVILLE, IL | |
IA | 01/05/2015 - 10/25/2016 | WESTERN SPRINGS, IL | |
B | 01/05/2015 - 10/25/2016 | WESTERN SPRINGS, IL | |
B | 10/06/2009 - 01/09/2015 | CHICAGO, IL |
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.