DL
Dennis W. Laughlin
KESTRA PRIVATE WEALTH SERVICES
Melbourne, FL 32901
Some features on this profile are disabled
CRD#: 1230817
DL
Professional summary
Dennis William Laughlin, who also goes by Dennis W Laughlin, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Melbourne, Florida and KESTRA INVESTMENT SERVICES, LLC located in Melbourne, Florida.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Dennis has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis W Laughlin
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.
Business Name: Three Bridges Planning Investment Related: Yes Address: 304 S. Harbor City Blvd., Suite 200 Melbourne FL 32955 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Director of Portfolio Management Start Date: 5/1/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Providing investment and securities advice to clientsBusiness Name: Calvary Chapel Melbourne Finance Committee Investment Related: No Address: 2955 Minton Road West Melbourne FL 32904 Nature of Business: Other Other/None of the Above None of the above Position, Title or Relationship: Committee member Start Date: 7/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Advise of church finance issues. Make budgeting decisions.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis William Laughlin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 7, 2019 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 304 S. Harbor City Blvd. Suite 200, Melbourne, FL 32901RIA
CRD#: 155193
Melbourne, FL
Current
May 1, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 304 S. Harbor City Blvd. Suite 200, Melbourne, FL 32901BD
CRD#: 42046
Melbourne, FL
Past
October 28, 2010 - May 10, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MELBOURNE, FL
Past
October 28, 2010 - May 10, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELBOURNE, FL
Past
January 30, 2007 - November 4, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MELBOURNE, FL
Past
January 29, 2007 - November 4, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MELBOURNE, FL
Past
February 21, 2006 - February 7, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SUNTREE, FL
Past
February 21, 2006 - February 7, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SUNTREE, FL
Past
April 4, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
SUNTREE, FL
Past
March 21, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
January 11, 1993 - April 3, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 11, 1988 - February 3, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
April 10, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
January 25, 1984 - February 3, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/1/2019)
RR
Colorado(12/12/2024)
RR
Delaware(5/29/2019)
RR
Florida(5/1/2019)
IAR
Florida(5/7/2019)
RR
Georgia(5/1/2019)
RR
Maine(5/2/2019)
RR
Maryland(7/18/2019)
RR
Massachusetts(5/10/2019)
RR
Michigan(11/9/2020)
RR
Missouri(5/1/2019)
RR
New Hampshire(5/15/2019)
RR
New Jersey(5/1/2019)
RR
New York(5/1/2019)
RR
North Carolina(5/1/2019)
RR
Ohio(5/1/2019)
RR
Oregon(10/14/2019)
RR
Pennsylvania(5/1/2019)
RR
South Carolina(5/3/2019)
RR
Texas(5/1/2019)
IAR
Texas(8/22/2023)
RR
Utah(1/10/2025)
RR
Virginia(5/1/2019)
RR
Wisconsin(9/24/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
