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Dennis Frank Grothaus

Osaic FS, Inc.

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About Dennis Frank Grothaus

Dennis Grothaus is a Registered Representative and Investment Advisor Representative associated with Osaic FS, Inc. based in California, Kentucky. Dennis has been in the financial industry for over 20 years, with a focus on retirement plan consulting, financial planning and portfolio management for businesses and individuals. Dennis Grothaus has been a registered representative since 2000 and has experience with Allstate Financial Services, LLC and Fifth Third Securities, Inc. Dennis is licensed in Kentucky, Florida, and Ohio and has Series 7, 31, and 66 licenses.

Firm Information

Dennis Grothaus is currently registered with Osaic FS, Inc.. Osaic FS, Inc. is a Corporation that was formed on January 21, 1969. The firm is headquartered in FORT WAYNE, IN, United States. Osaic FS, Inc. is a registered investment advisor with the SEC and in 53 states. The firm has approximately 655 registered representatives and 371 investment advisor representatives. The firm manages approximately $4,483,164,358 in assets, including $1,240,351,270 in discretionary assets. The firm offers a variety of investment advisory services, including financial planning, portfolio management for individuals and businesses, and selection of other advisors. The firm's client base includes individuals, corporations, and retirement plans.
Osaic FS, Inc.

1301 SOUTH HARRISON STREET

FORT WAYNE, IN 46802

$4.48B

Assets Under Management

300

Total Clients

311

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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retirement plan consulting services provided on limited basis.

Retirement plan consulting services provided on limited basis.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Dennis Grothaus’s Registration & Firm History

KY

04/01/2019 - Present

Osaic FS, Inc. (CALIFORNIA KY)

KY

09/16/2014 - 12/27/2018

ALLSTATE FINANCIAL SERVICES, LLC (Edgewood KY)

KY

09/23/2002 - 03/21/2014

ALLSTATE FINANCIAL SERVICES, LLC (HIGHLAND HEIGHTS KY)

OH

09/04/2001 - 05/10/2002

FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)

NY

04/13/2000 - 07/03/2001

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 04/28/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/2000

Series 31 - Futures Managed Funds Examination

BC

Issued 04/12/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dennis Frank Grothaus.
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