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Denise Ferrari

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Information

Other Names: Denise Gail Ferrari, Denise Gailferrari, Denise Parksferrari
Firm:
Additional Firm:
Type: Dual Registration
Description

Denise Ferrari is a financial professional at 1st Global Capital Corp., a broker-dealer with over 1,050 registered representatives nationwide. Denise is also registered with 1st Global Advisors Inc, a $6B RIA based in North Dallas, TX. Denise has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
1st Global Insurance Services, Inc 6 years, 4 months May 2008 - Present
1st Global Advisors Inc 10 years, 7 months Feb 2004 - Present
1st Global Capital Corp. 10 years, 7 months Feb 2004 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 03/25/2002
General Securities Principal ExaminationSeries 24 11/24/1997
General Securities Representative ExaminationSeries 7 10/24/1997
Investment Company Products/Variable Contracts Principal ExaminationSeries 26 06/10/1997
Uniform Securities Agent State Law ExaminationSeries 63 12/17/1996
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 12/17/1996

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Denise Ferrari has not answered any questions on Financial Q&A.

Top Guides

Denise Ferrari has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
12/15/2011
03/20/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees