Denis O. Bakke
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.
Denis Oliver Bakke was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1966. Denis had worked at 4 firms and has passed the Series 63, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2016 - March 24, 2020
HIGHMARK WEALTH MANAGEMENT LLC
September 20, 2010 - July 21, 2016
UBS FINANCIAL SERVICES INC.
August 12, 2006 - July 21, 2016
UBS FINANCIAL SERVICES INC.
June 3, 1977 - August 12, 2006
PIPER SANDLER & CO.
December 2, 1966 - August 19, 1977
CALDWELL-PHILLIPS, INC.
Primary Firm SEC Registration
HIGHMARK WEALTH MANAGEMENT LLC
CRD#: 164790 / SEC#: 801-76896
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
PC
Date: 6/25/1981
AMEX Put and Call ExamSeries 1
Date: 11/29/1966
Registered Representative ExaminationSeries 00
Date: 12/13/1973
General Securities Principal ExaminationCurrent Firm
HIGHMARK WEALTH MANAGEMENT LLC
CRD#: 164790 / SEC#: 801-76896
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,560 |
| AUM (Assets Under Management) | $ 522,831,922 |
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.
