AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
DF

Denis D Frelinghuysen

CRD# 1060866·Registered 1982 - 2015
Previously Registered: Being a previously registered professional could mean that Denis 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.

Professional Summary

Denis D Frelinghuysen, who also goes by Denis Deviry Frelinghuysen, Denis Frelinghuysen, was a registered financial advisor. Denis was a previously registered financial advisor and started their career in finance 1982 - 2015. Denis had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Denis Deviry Frelinghuysen, Denis Frelinghuysen

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

44 years in the financial services industry

Current & Past Employments

FOREFRONT CAPITAL MARKETS LLC·CRD# 151812
BD
New York, NY
June 3, 2014 - August 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Stamford, CT
February 16, 2011 - August 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Stamford, CT
December 17, 2010 - August 9, 2012
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
April 14, 2003 - December 13, 2004
MAXIM GROUP LLC·CRD# 120708
BD
New York, NY
October 23, 2002 - February 4, 2003
HAPOALIM SECURITIES USA, INC.·CRD# 266
BD
New York, NY
February 1, 2001 - October 23, 2002
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
June 10, 1991 - February 1, 2001
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
November 9, 1987 - June 21, 1991
L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501
BD
April 14, 1986 - November 3, 1987
CIBC WORLD MARKETS CORP.·CRD# 630
BD
September 18, 1985 - April 16, 1986
KUHNS BROTHERS & LAIDLAW, INC.·CRD# 1481
BD
May 9, 1985 - September 27, 1985
CRALIN & CO., INC.·CRD# 7605
BD
October 30, 1984 - April 8, 1985
SOUTHEAST SECURITIES OF FLORIDA, INC.·CRD# 5359
BD
September 29, 1983 - July 10, 1984
BLINDER, ROBINSON & CO., INC.·CRD# 5096
BD
September 24, 1982 - October 4, 1983

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

FC
FOREFRONT CAPITAL MARKETS LLC

FOREFRONT CAPITAL MARKETS LLC

CRD#: 151812 / SEC#: 801-80131, 8-68402
BD
Terminated by SEC on 10/16/2015

Contact Information

Established

Delaware since 06/25/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

FOREFRONT CAPITAL MARKETS, LLC (7/23/2014)

Direct owners and executive officers

NamePositionCRD#
FOREFRONT CAPITAL HOLDINGS, LLCOWNER-SHAREHOLDER—
REIFLER, BRADLEY CARLCHIEF EXECUTIVE OFFICER1589414
WASITOWSKI, DAVID ALLANCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER4187976

Disclosures

Regulatory Event

1

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2011About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed May 2002About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1985About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2010About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

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

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
DF
Follow Denis
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required