Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Quan is a financial advisor with LPL Financial LLC and has been in the industry since September 28, 1997. Dennis is registered with FINRA and the state of California as well as 20 other states. Prior to joining LPL Financial LLC, Dennis worked at BANCWEST INVESTMENT SERVICES, INC., U.S. BANCORP INVESTMENTS, INC., WELLS FARGO ADVISORS, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and MORGAN STANLEY DW INC. Dennis is a Series 7, 9, 31, 63, and 65 licensed financial advisor. Dennis has a strong commitment to providing clients with comprehensive financial planning, investment management, and retirement planning services.
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
CA
07/19/2023 - Present
LPL Financial LLC (SANTA CLARA CA)
CA
03/21/2011 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (CUPERTINO CA)
CA
06/02/2010 - 03/18/2011
U.S. BANCORP INVESTMENTS, INC. (CUPERTINO CA)
CA
12/17/2007 - 04/27/2010
WELLS FARGO ADVISORS, LLC (SAN JOSE CA)
CA
07/11/2005 - 12/14/2007
BANCWEST INVESTMENT SERVICES, INC. (BURLINGAME CA)
NY
07/03/2002 - 07/11/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/21/1997 - 07/18/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 09/04/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/24/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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