Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Alan Haubert Jr. is a financial advisor with over 20 years of experience in the financial services industry. Dennis is a Certified Financial Planner™ professional and holds Series 7, 9, 10, 31, and 66 licenses. Dennis has held previous positions with Edward Jones, Wells Fargo Clearing Services, LLC, Transamerica Investors Securities Corporation, and Cetera Investment Services LLC. Dennis is currently registered with LPL Financial LLC.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CO
06/02/2023 - Present
LPL Financial LLC (DENVER CO)
CO
10/05/2022 - 06/02/2023
SIGMA FINANCIAL CORPORATION (Denver CO)
CO
04/16/2021 - 10/07/2022
EDWARD JONES (Golden CO)
CO
04/07/2020 - 04/19/2021
TRANSAMERICA INVESTORS SECURITIES CORPORATION (DENVER CO)
CO
06/22/2017 - 03/17/2020
WELLS FARGO CLEARING SERVICES, LLC (GREENWOOD VILLAGE CO)
MO
09/25/2013 - 06/22/2017
CETERA INVESTMENT SERVICES LLC (COLUMBIA MO)
CO
04/16/2010 - 09/26/2013
AMERIPRISE FINANCIAL SERVICES, INC. (BOULDER CO)
CO
06/01/2009 - 05/13/2010
MORGAN STANLEY SMITH BARNEY (ENGLEWOOD CO)
CO
02/03/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ENGLEWOOD CO)
CO
07/25/2001 - 02/06/2006
MORGAN STANLEY DW INC. (DENVER CO)
BOTH
Issued 08/21/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/26/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 07/24/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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