Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Mumford is a financial advisor with Cambridge Investment Research Advisors, Inc. Dennis has been in the financial services industry for 36 years. Dennis is registered as a financial advisor in the state of Florida, North Carolina, South Carolina and Texas. He is also licensed to sell securities products in these states. Dennis has a Series 6, 7, 63, 65 and SIE securities license. He is also a Managing Member of Core Max Advisors LLC and Advisors on Call LLC, providing financial 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.
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.
Solicitation fees from 3rd party money managers
1
2
NC
01/05/2016 - Present
Cambridge Investment Research Advisors, Inc. (Charlotte NC)
NC
04/02/2009 - 02/11/2014
METLIFE SECURITIES INC. (CHARLOTTE NC)
NC
10/24/2006 - 04/03/2009
MML INVESTORS SERVICES, INC. (CHARLOTTE NC)
NC
10/21/2002 - 10/23/2006
SECURITIES AMERICA, INC. (CHARLOTTE NC)
CA
05/19/2000 - 10/25/2002
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
MA
10/06/1999 - 05/22/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/06/1999 - 05/22/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
CA
03/19/1997 - 10/21/1999
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
NY
06/18/1991 - 04/01/1997
USLIFE EQUITY SALES CORP. (NEW YORK NY)
NY
02/23/1989 - 07/31/1990
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NA
10/28/1988 - 01/02/1989
BNL SECURITIES INC.
NA
05/03/1988 - 11/16/1988
FOCUS SECURITIES, INC.
NA
12/02/1986 - 05/04/1988
JEFFERSON-PILOT INVESTOR SERVICES, INC.
IA
Issued 04/11/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2009
Series 7 - General Securities Representative Examination
BC
Issued 11/17/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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