Dennis J. Loo
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 Jan Loo was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 12 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2009 - December 31, 2020
LPL FINANCIAL LLC
September 8, 2009 - December 31, 2020
LPL FINANCIAL LLC
December 15, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
December 15, 2008 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
December 15, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
October 28, 2003 - December 15, 2008
FSC SECURITIES CORPORATION
May 9, 2000 - December 15, 2008
FSC SECURITIES CORPORATION
April 26, 1999 - May 5, 2000
MML INVESTORS SERVICES, LLC
January 2, 1998 - April 19, 1999
CADARET, GRANT & CO., INC.
May 20, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
January 16, 1990 - May 20, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 10, 1986 - January 16, 1990
CYPRESS CAPITAL CORPORATION
February 9, 1984 - April 8, 1986
EXECUTIVE FINANCIAL SERVICES, INC.
November 3, 1983 - April 3, 1986
BERKSHIRE EQUITY SALES, INC.
March 1, 1983 - May 23, 1984
1717 CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
