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DH

Dennis P. Harrold

Some features on this profile are disabled
CRD#: 1178753
DH

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 Patrick Harrold was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

May 10, 2018 - March 15, 2024

TRUE PRIVATE WEALTH ADVISORS, LLC

RIA
CRD#: 164947
SALEM, OR
Past

March 9, 2018 - November 1, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
SALEM, OR
Past

June 1, 2009 - January 3, 2018

MORGAN STANLEY

RIA
CRD#: 149777
LAKE OSWEGO, OR
Past

June 1, 2009 - January 3, 2018

MORGAN STANLEY

BD
CRD#: 149777
LAKE OSWEGO, OR
Past

May 9, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
PORTLAND, OR
Past

May 3, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
PORTLAND, OR
Past

July 28, 1987 - March 29, 1993

BLACK & COMPANY, INC.

BD
CRD#: 95
PORTLAND, OR

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".
TP
TRUE PRIVATE WEALTH ADVISORS, LLC
ALLATICE WEALTH ADVISORS, LLC | TRUE PRIVATE WEALTH ADVISORS, LLC | STEVE BINNS GROUP | SANDERS COFFEE GROUP | OPSAHL GROUP | NBC CAPITAL ADVISORS GROUP | NANSON, BRATT & COLVIN CAPITAL ADVISORS GROUP | MIKE LONG GROUP | GESCHER HERBER GROUP | DAVIS ALTMAN PATERSON GROUP

CRD#: 164947 / SEC#: 801-76997

RIA
Registered Investment Advisory firm - (8/7/2012 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/5/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/15/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/22/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 10/2/1989
Registered Options Principal Examination

Current Firm

TP
TRUE PRIVATE WEALTH ADVISORS, LLC
ALLATICE WEALTH ADVISORS, LLC | TRUE PRIVATE WEALTH ADVISORS, LLC | STEVE BINNS GROUP | SANDERS COFFEE GROUP | OPSAHL GROUP | NBC CAPITAL ADVISORS GROUP | NANSON, BRATT & COLVIN CAPITAL ADVISORS GROUP | MIKE LONG GROUP | GESCHER HERBER GROUP | DAVIS ALTMAN PATERSON GROUP

CRD#: 164947 / SEC#: 801-76997

RIA
Registered Investment Advisory firm - (8/7/2012 Approved)
PREMIUM
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Contact information

Main Address
1781 Liberty Street Se Suite 200, Salem, OR 97302
Mailing Address
P.o. Box 648, Mcminnville, OR 97128
Phone number
(503) 400-3311
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TRUE PRIVATE WEALTH ADVISORS_FORM ADV PART 2A BROCHURE (5/9/2025)

Regulatory assets under management

Total Number of Accounts4,050
AUM (Assets Under Management)$ 1,261,064,067

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.

Company Information

TRUE PRIVATE WEALTH ADVISORS, LLC

CRD#: 164947

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Contact information

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