Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis John Hearst is a financial professional with over 23 years of experience in the industry. Dennis currently holds a Series 7, Series 63 and SIE license, and he is registered with the Financial Industry Regulatory Authority (FINRA) and in 53 states. He has previously worked for firms such as Goldman, Sachs & Co., Credit Suisse First Boston LLC, Prudential Securities Incorporated and Volpe Brown Whelan & Company, LLC. Dennis' current employer is J.p. Morgan Securities LLC, a firm with over $50 billion in assets under management, where he is located at the San Francisco, CA branch office. Dennis is a registered representative and investment advisor representative.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
08/18/2014 - Present
J.p. Morgan Securities LLC (San Francisco CA)
NY
11/10/2005 - 05/21/2013
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
06/22/2000 - 08/13/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NY
01/17/2000 - 05/18/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
04/07/1997 - 01/17/2000
VOLPE BROWN WHELAN & COMPANY, LLC (SAN FRANCISCO CA)
IA
Issued 12/18/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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