Dean M. Yurica
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.
Dean Michael Yurica, who also goes by Dean Yurica, was a registered financial advisor .
Dean is a previously registered financial advisor and started their career in finance in 1982. Dean had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2013 - July 30, 2015
LANTERN WEALTH ADVISORS, LLC
June 18, 2013 - July 2, 2015
HEROLD & LANTERN INVESTMENTS, INC.
April 1, 2003 - July 10, 2013
LPL FINANCIAL LLC
April 1, 2003 - July 10, 2013
LPL FINANCIAL LLC
April 14, 1997 - April 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 9, 1993 - April 30, 1997
CITIGROUP GLOBAL MARKETS INC.
August 25, 1989 - September 10, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 27, 1982 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
May 24, 1982 - June 3, 1982
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/1/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 265,466,991 |
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.
