Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis James Johnson is a registered investment advisor representative with Stifel, Nicolaus & Company, Inc. in Mequon, WI. Dennis has been working in the industry since 1993. Dennis has passed the Series 63, 66 and 7 exams along with the SIE exam. Dennis has experience working with individuals, high-net-worth individuals, business development companies, pension plans, corporations, charitable organizations, pooled investment vehicles and insurance companies. Prior to joining Stifel, Nicolaus & Company, Inc., Dennis worked at B.C. Ziegler and Company in Mequon, WI. Dennis is also registered in 24 states and is currently active in both broker-dealer and investment advisor roles.
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.
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
WI
03/16/2018 - Present
Stifel, Nicolaus & Company, Inc. (MEQUON WI)
WI
09/01/1999 - 03/16/2018
B. C. ZIEGLER AND COMPANY (MEQUON WI)
NY
10/06/1995 - 05/17/1999
TITUS & DONNELLY LLC (NEW YORK NY)
RI
11/18/1993 - 03/09/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
07/31/1993 - 11/03/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
02/16/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 09/24/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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