Denis B. York

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CRD#: 1258439

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 Bernard York was a registered financial professional .

Denis is a previously registered financial professional and started their career in finance in 1984. Denis had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 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.

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 2, 2019 - May 4, 2020

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Grandville, MI

Past

May 1, 2019 - May 4, 2020

AW SECURITIES

CRD#: 103747

FOLSOM, CA

Past

November 1, 2011 - May 8, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

GRANDVILLE, MI

Past

October 31, 2011 - May 8, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

GRANDVILLE, MI

Past

October 13, 2010 - October 31, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

GRANDVILLE, MI

Past

September 12, 1995 - October 31, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

GRANDVILLE, MI

Past

January 2, 1992 - September 18, 1995

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

CRD#: 17529

FARMINGTON HILLS, MI

Past

August 1, 1991 - January 2, 1992

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

November 2, 1987 - August 1, 1991

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

February 5, 1986 - November 27, 1987

VERAVEST INVESTMENTS, INC.

CRD#: 3960

Past

April 18, 1984 - June 14, 1985

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

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".

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 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 66

Date: 6/4/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1987

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: 9/15/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/11/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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Contact information

Main Address

340 Palladio Pkwy. Suite 501, Folsom, CA 95630

Mailing Address

Phone number

(916) 482-2196

Established

Firm type

Fiscal year end

# of Employees

466

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (7/1/2025)

FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64,930
AUM (Assets Under Management)	$ 25,097,132,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/05/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Denis B. York

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AW SECURITIES

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

IFMG SECURITIES, INC.

PAMCO SECURITIES AND INSURANCE SERVICES

VERAVEST INVESTMENTS, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ALLWORTH FINANCIAL, L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2010

Series 63

Date: 10/16/1987

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1993

Series 6

Date: 4/11/1984

Current Firm

ALLWORTH FINANCIAL, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLWORTH FINANCIAL, L.P.

TRUST BUT VERIFY

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