Holly F. D'annunzio

D'ANNUNZIO CONSULTING GROUP

TACOMA, WA 98402

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CRD#: 1028065

Professional summary

Holly Foss D'annunzio, who also goes by Holly Foss Dannunzio, Holly Mildred Foss, Holly Foss, is a registered financial advisor currently at D'ANNUNZIO CONSULTING GROUP, LLC located in Tacoma, Washington.

Holly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Holly has worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 15 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Holly Foss Dannunzio | Holly Mildred Foss | Holly Foss

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.

(1) MEMBER OF PRIVATE LIMITED LIABILITY COMPANIES FORMED TO HOLD FAMILY REAL ESTATE. SHADOW LAKE HOLDINGS, LLC; CONNOR CREEK FOREST MANAGEMENT, LLC; SHADOW LAKE HOLDINGS II LLC; DTA SEATTLE, LLC; TRIANGLE PACIFIC LLC; OLD TOWN BLACK DIAMOND LLC. MAILING ADDRESS 621 PACIFIC AVE SUITE 216 TACOMA WA 98402.TIME COMMITMENT IS AFTER TRADING HOURS AND APPROXIMATES 600 HOURS/YEAR INCLUDING EVENINGS AND WEEKENDS. (2) MEMBER OF CO-STARS GLOBAL RESEARCH LLC WHICH IS A SINGLE MEMBER WASHINGTON LLC FORMED TO PROVIDE INVESTMENT MANAGER RESEARCH. ADDRESS 621 PACIFIC AVE SUITE 216, TACOMA, WA 98402. DUTIES INCLUDE SUPERVISION OF RESEARCH PROCESS, AND ALL MANAGEMENT RESPONSIBILITIES. START DATE 07/2007. APPROXIMATELY 20 HOURS PER MONTH DEVOTED TO THIS BUSINESS AFTER TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holly Foss D'annunzio's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 13, 2007 - Present

D'ANNUNZIO CONSULTING GROUP, LLC

Office #1: 621 Pacific Avenue Suite 216, Tacoma, WA 98402

RIA

CRD#: 144422

TACOMA, WA

Past

August 27, 2003 - November 7, 2005

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

May 24, 1999 - June 27, 2007

CTC CONSULTING, INC.

RIA

CRD#: 107079

TACOMA, WA

Past

May 19, 1999 - August 31, 2001

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

Past

January 9, 1992 - March 23, 1999

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

SEATTLE, WA

Past

June 2, 1982 - May 9, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 25, 1982 - March 2, 1982

OTC NET INCORPORATED

CRD#: 7756

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

D'ANNUNZIO CONSULTING GROUP, LLC

CRD#: 144422 / SEC#: 801-68118

RIA

Registered Investment Advisory firm - (7/12/2007 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Washington
(7/13/2007)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/19/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/7/1992

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 6/7/1984

Foreign Currency Options Examination

Current Firm

D'ANNUNZIO CONSULTING GROUP, LLC

CRD#: 144422 / SEC#: 801-68118

RIA

Registered Investment Advisory firm - (7/12/2007 Approved)

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Contact information

Main Address

621 Pacific Avenue Suite 216, Tacoma, WA 98402

Mailing Address

Phone number

(253) 272-1972

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DCG ADV PART 2 FIRM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 1,716,662,266

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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Holly F. D'annunzio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holly Foss D'annunzio's CRS (Customer Relationship Summary).

Certified licenses

Experience

UST SECURITIES CORP.

CTC CONSULTING, INC.

UST FINANCIAL SERVICES CORP.

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

LEHMAN BROTHERS INC.

OTC NET INCORPORATED

Primary Firm SEC Registration

D'ANNUNZIO CONSULTING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/1993

Series 63

Date: 1/22/1992

Series 3

Date: 6/19/1996

Series 7

Date: 1/7/1992

Series 15

Date: 6/7/1984

Current Firm

D'ANNUNZIO CONSULTING GROUP, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

D'ANNUNZIO CONSULTING GROUP, LLC

TRUST BUT VERIFY

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