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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis John Omalley is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Dennis has been in the financial services industry since 1991 and has experience working with a variety of clients, including high-net-worth individuals, corporations, and institutions. Dennis holds the Series 6, 7, 26, 63, and 65 licenses. Dennis is also a registered investment advisor in multiple states. Dennis previously worked at BANC OF AMERICA INVESTMENT SERVICES, INC., JANNEY MONTGOMERY SCOTT LLC, SUMMIT FINANCIAL SERVICES GROUP, INC., FISERV INVESTOR SERVICES, INC., AEGON USA SECURITIES INC., EQUICO SECURITIES, INC. and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
PA
01/03/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BLUE BELL PA)
PA
12/03/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BLUE BELL PA)
PA
12/01/2000 - 12/17/2004
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
PA
10/21/1998 - 12/08/2000
SUMMIT FINANCIAL SERVICES GROUP, INC. (BETHLEHEM PA)
TX
12/02/1996 - 10/21/1998
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
IA
12/11/1994 - 10/28/1996
AEGON USA SECURITIES INC. (CEDAR RAPIDS IA)
NA
11/22/1993 - 01/04/1995
EQUICO SECURITIES, INC.
NA
11/19/1993 - 01/04/1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
NY
07/19/1991 - 01/04/1995
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
07/19/1991 - 01/04/1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 01/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/1994
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1995
Series 7 - General Securities Representative Examination
BC
Issued 07/18/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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