Dennis L. Burgess

SWS ADVISORS

Covington, OH 45318

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CRD#: 1020157

Professional summary

Dennis Lane Burgess, CFP®, who also goes by Denny Burgess, is a registered financial advisor currently at SWS ADVISORS, INC. located in Covington, Ohio and OMNI FINANCIAL SECURITIES, INC. located in Columbus, Ohio.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Dennis has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Denny Burgess

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.

TAX PREPARER, NON INVESTMENT RELATED, 1998, OVER 160 HRS/MO. DURING TAX SEASON, COVINGTON OH. I am a licensed to sell life and health insurance and fixed annuities, earn regular commissions. Maintain a tax-preparation practice

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Lane Burgess's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

May 25, 2016 - Present

SWS ADVISORS, INC.

Office #1: 6505 State Route 48, Covington, OH 45318

RIA

CRD#: 120054

Covington, OH

Current

January 26, 2016 - Present

OMNI FINANCIAL SECURITIES, INC.

Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240

CRD#: 29320

Columbus, OH

Past

February 25, 2008 - November 12, 2015

PRIMESOLUTIONS SECURITIES, INC.

CRD#: 46017

COVINGTON, OH

Past

October 3, 2007 - January 14, 2008

ABACUS INVESTMENTS, INC.

CRD#: 35127

DOUSMANS, WI

Past

March 29, 2007 - September 25, 2007

DALTON STRATEGIC INVESTMENT SERVICES INC.

CRD#: 23485

KNIGHTSTOWN, IN

Past

May 13, 2002 - March 14, 2007

DALTON STRATEGIC INVESTMENT SERVICES INC.

CRD#: 23485

COVINGTON, OH

Past

May 23, 2001 - July 25, 2001

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

September 2, 1998 - December 1, 2000

CARLSON NATIONAL BROKERS, LTD

CRD#: 25056

HERRIN, IL

Past

January 2, 1998 - August 28, 1998

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

October 3, 1995 - January 2, 1998

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

December 24, 1992 - October 4, 1995

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

November 15, 1989 - December 31, 1992

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

November 17, 1988 - December 8, 1989

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

May 23, 1988 - November 28, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

Past

April 25, 1986 - July 15, 1988

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

Past

December 23, 1981 - September 10, 1985

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(2/8/2016)

Indiana
(1/27/2016)

Ohio
(1/26/2016)

IAR

Ohio
(5/25/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/15/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SWS ADVISORS, INC.

MANEX ADVISORS, INC | SWS ADVISORS, INC.

CRD#: 120054 / SEC#:

Arizona

Registered Investment Advisory firm - (3/4/2016 Approved)

Florida

Registered Investment Advisory firm - (6/27/2019 Approved)

Illinois

Registered Investment Advisory firm - (5/5/2016 Approved)

Kentucky

Registered Investment Advisory firm - (12/31/2020 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/5/2008 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/25/2016 Approved)

Texas

Registered Investment Advisory firm - (10/25/2014 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1900 Polaris Parkway, Suite 450, Columbus, OH 43240

Mailing Address

Phone number

(614) 438-5300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 50,618,150

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.

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Advisor Monitoring

Firm Stability Insights

Dennis L. Burgess

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Lane Burgess's CRS (Customer Relationship Summary).

Certified licenses

Experience

OMNI FINANCIAL SECURITIES, INC.

PRIMESOLUTIONS SECURITIES, INC.

ABACUS INVESTMENTS, INC.

DALTON STRATEGIC INVESTMENT SERVICES INC.

DALTON STRATEGIC INVESTMENT SERVICES INC.

USALLIANZ SECURITIES, INC.

CARLSON NATIONAL BROKERS, LTD

TRANSAMERICA FINANCIAL ADVISORS, LLC

AEGON USA SECURITIES INC.

IFG NETWORK SECURITIES, INC.

PLANNED INVESTMENTS INC.

INVESTACORP, INC.

FSC SECURITIES CORPORATION

B.C. CHRISTOPHER SECURITIES CO.

THE O.N. EQUITY SALES COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 9/15/2003

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1985

Series 6

Date: 12/7/1981

FINRA

Current Firm

SWS ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWS ADVISORS, INC.

TRUST BUT VERIFY

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