Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Dummit is a financial advisor with over 30 years of experience in the financial industry. Dennis is currently registered with Wells Fargo Clearing Services, LLC and is also registered in various states as both a broker-dealer and investment advisor. Dennis has previously worked at Bateman Eichler, Hill Richards, Incorporated and Smith Barney, Harris Upham & Co., Incorporated. Dennis has a strong background in providing financial advice to individuals and businesses.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
06/09/2014 - Present
Wells Fargo Clearing Services, LLC (SEAL BEACH CA)
NA
12/12/1985 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
09/23/1983 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
01/22/1985 - 12/23/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 05/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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