Operations Processing

  • New Account Procedures
  • Case evaluation


Introducing Firm/Clearing Firm relationship

  • Clearing Agreement Review
  • Suitability Standards

Credible/Knowledgeable

Industry knowledge and experience enhanced by regulatory service gives Dennis a unique capability to opine and present expert testimony on all facets of the securities industry with emphasis on customer protection, introducing firm/clearing firm relationship and carrying firm processes.

Services

Experience You Can Trust

Specializing In Operations and Clearing Processes

Dennis is the retired vice chairman of Sterne Agee Clearing. Sterne Agee, member New York Stock Exchange, and its affiliates is engaged in processing, securities transactions for correspondent broker dealers (Introducing Firms) and provides securities brokerage, custody services, investment banking and other financial services to individual, corporate and public clients.