Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Brock Ashby is a financial advisor with Momentum Independent Network Inc. Dennis has over 30 years of experience in the financial industry and is registered in Texas. He is also a registered investment advisor in Texas. Dennis is a Series 7, Series 63, Series 65 and Series 79TO licensed professional. Dennis provides financial planning, investment advice, portfolio management, and educational seminars to individuals, high net worth individuals, corporations, charitable organizations and pension and profit sharing plans.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
11/16/2017 - Present
Momentum Independent Network Inc. (DALLAS TX)
TX
11/09/2009 - 11/09/2017
IMS SECURITIES, INC. (KATY TX)
TX
10/21/2005 - 11/12/2009
RBC CAPITAL MARKETS CORPORATION (HOUSTON TX)
FL
01/27/1998 - 11/08/2005
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
TX
09/01/1994 - 02/09/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
MO
02/22/1991 - 08/17/1994
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
04/04/1989 - 02/27/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/11/1987 - 04/11/1989
RAUSCHER PIERCE REFSNES, INC.
NA
04/18/1984 - 03/24/1987
ROTAN MOSLE INC.
IA
Issued 12/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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