Dennis A. Leonida

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CRD#: 1073431

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 Adrian Leonida was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1982. Dennis had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

Dennis Leonida is an independent licensed insurance agent, and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment advisor. CFG always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to utilize the services of any representative of CFG in connection with such individual's activities outside of CFG. Dennis Leonida currently offers non-variable insurance products through One Insurance Solutions for RIAs by Producer's Choice Network. Producer's Choice Network is an Independent Marketing Organization and provides licensing and servicing to investment advisor representatives. One Insurance Solutions for RIAs by Producer's Choice Network provides annuity, long-term care and life insurance products through various insurance carriers.

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

January 1, 1999 - January 29, 2025

CAPITAL FINANCIAL GROUP, INC.

RIA

CRD#: 111709

GREENWOOD VILLAGE, CO

Past

June 25, 1998 - October 10, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENWOOD VILLAGE, CO

Past

March 23, 1990 - June 25, 1998

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 25, 1985 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

Past

November 5, 1982 - June 7, 1985

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

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".

CAPITAL FINANCIAL GROUP, INC.

CRD#: 111709 / SEC#: 801-117272

RIA

Registered Investment Advisory firm - (8/28/2019 Approved)

Colorado

Registered Investment Advisory firm - (9/24/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/28/2016 Terminated)

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).

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.

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: 10/16/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1985

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: 10/26/1998

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/14/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/4/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL FINANCIAL GROUP, INC.

CRD#: 111709 / SEC#: 801-117272

RIA

Registered Investment Advisory firm - (8/28/2019 Approved)

Colorado

Registered Investment Advisory firm - (9/24/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/28/2016 Terminated)

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Contact information

Main Address

8400 E. Prentice Ave., Suite 1100, Greenwood Village, CO 80111-2926

Mailing Address

Phone number

(303) 629-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL FINANCIAL GROUP, INC. (2/13/2025)

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 204,720,315

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Dennis A. Leonida

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

B.C. CHRISTOPHER SECURITIES CO.

CONSOLIDATED INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CAPITAL FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/1997

Series 63

Date: 5/6/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/26/1998

Series 22

Date: 12/14/1982

Series 6

Date: 11/4/1982

Current Firm

CAPITAL FINANCIAL GROUP, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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