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DH

Dennis M. Hogerty

Some features on this profile are disabled
CRD#: 1019073
DH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dennis Michael Hogerty was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1981. Dennis had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 15, 2010 - September 12, 2012

GIRARD SECURITIES, INC.

RIA
CRD#: 18697
FORT COLLINS, CO
Past

July 15, 2010 - October 18, 2012

UNITED CAPITAL FINANCIAL ADVISORS

RIA
CRD#: 134600
FORT COLLINS, CO
Past

July 15, 2010 - September 12, 2012

GIRARD SECURITIES, INC.

BD
CRD#: 18697
FORT COLLINS, CO
Past

November 28, 2003 - July 16, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
FORT COLLINS, CO
Past

November 28, 2003 - July 16, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
FORT COLLINS, CO
Past

January 1, 1999 - December 15, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
FT. COLLINS, CO
Past

May 7, 1993 - December 15, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 4, 1990 - May 25, 1993

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 11, 1981 - September 4, 1990

BOETTCHER & COMPANY, INC.

BD
CRD#: 101

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/12/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1981
General Securities Representative Examination

Current Firm

GS
GIRARD SECURITIES, INC.
ALLRED RETIREMENT SERVICES | WILLIAM PRITCHARD | VIDA WEALTH PARTNERS | UNITED CAPITAL FINANCIAL ADVISORS | UCFA-FT. LAUDERDALE | UCFA ILLINOIS | UCFA HARVEST GROUP | UCFA - FORT COLLINS | UCFA | TOROSO FINANCIAL GROUP, LLP | TM WEALTH MANAGEMENT SYSTEMS | STRATTON INVESTORS FINANCIAL SERVICES | SNYDER FINANCIAL SERVICES | SILVERBERG & COOK, INC | SHANLEY & ASSOCIATES | SELBY DIAMOND ENTERPRISES, INC. | SCHEER WEALTH | SB WEALTH STRATEGIES | ROLOFF WEALTH MANAGEMENT, INC. | RINCON PACIFIC MANAGEMENT INC. | RETIREMENT SOLUTIONS | RETIREMENT MONEY MANAGEMENT | PROFESSIONAL ADVISORY SERVICES, INC | PROFESSIONAL ADVISORY SERVICES | PREMIER ADVISORS | PEAK FINANCIAL SOLUTIONS | PACIFIC WEALTH MANAGEMENT | PACIFIC CAPITAL ASSOCIATES | OSWALD WEALTH | NEWCASTLE FINANCIAL ADVISORS, INC | MPC ADVISORS | MILITELLO WEALTH MANAGEMENT, LLC | MEYERS FINANCIAL | LEGACY WEALTH MANAGEMENT | LEGACY FINANCIAL ADVISORS | KOCHAN FINANCIAL GROUP | KESTING FINANCIAL SERVICES | HOFFMAN & ASSOCIATES, INC | HARDWORKING CAPITAL | HAP NIELSEN INVESTMENTS | GUY J. LANDOLFI, CPA | GRS FINANCIAL GROUP | GRAND PRAIRIE FINANCIAL | GLEASON FINANCIAL | GIRARD SECURITIES, INC. | FOCUS FINANCIAL GROUP INC. | FINANCIAL PLANNING AND MANAGEMENT CORP. | DE GROOTE FINANCIAL GROUP | COOLEY AND LABAS FINANCIAL ADVISORS | BRIDGE WEALTH MANAGEMENT | BARTNICK FINANCIAL | ASSET ONE LLC

CRD#: 18697 / SEC#: 801-61470, 8-36920

BD
Terminated by SEC on 01/12/2018
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Contact information

Main Address
9560 Waples Street Suite B, San Diego, CA 92121
Mailing Address
Phone number
Established
California since 04/19/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

GIRARD SECURITIES WRAP FEE BROCHURE 20170331 (3/31/2017)
PART 2A FORM ADV 20170331 FIRM BROCHURE (3/31/2017)

Direct owners and executive officers

NamePositionCRD#
CHARGERS ACQUISITION LLCSHAREHOLDER
BALLARD, JAMES DAVIDVP1714327
BARRAGAN, JOHN ARTHUR IIIPRESIDENT/COO2941942
GRAHAM, LUANNE MARIEADVISORY CCO2310126
HARRISON, BRETT LAMARDIRECTOR4032238
JACOBSEN, BRYAN KB-D CCO, SECRETARY3055957
KLICMAN, SHIRLEY ANNEVP1771713
OLSON, GREGORY ALANASST. SECRETARY2692482
ROGERS, JASON DYLANSENIOR EXECUTIVE VP2641674
SHERROD, TRACI LYNNAVP4321192
SMILEY, STANLEY ROBERTVP3004604
TIETJEN, MARGARET SUSANCHIEF EXECUTIVE OFFICER/ DIRECTOR1294862

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

GIRARD SECURITIES, INC.

CRD#: 18697

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