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TD

Thomas Dudenhoefer

D-MERC SERVICES
Mills River, NC
Some features on this profile are disabled
CRD#: 1310867
TD

Professional summary

Thomas Dudenhoefer, who also goes by Thomas Joseph Dudenhoefer, Thomas Joseph Dudenhoffer, Tom Dudenhoefer, is a registered financial professional currently at D-MERC SERVICES located in Mills River, North Carolina.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 14 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Joseph Dudenhoefer | Thomas Joseph Dudenhoffer | Tom Dudenhoefer

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) - BD

Click below to view Thomas Dudenhoefer's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 7, 2019 - Present

D-MERC SERVICES

BD
CRD#: 292310
Mills River, NC
Past

October 26, 2018 - May 31, 2019

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
Golden, CO
Past

September 18, 2018 - October 23, 2018

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
Golden, CO
Past

November 25, 2016 - August 29, 2018

FINANCIAL WEST GROUP

BD
CRD#: 16668
Littleton, CO
Past

December 17, 2014 - November 25, 2016

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
Littleton, CO
Past

March 12, 2012 - December 15, 2014

WFG INVESTMENTS, INC.

BD
CRD#: 22704
LITTLETON, CO
Past

April 1, 2008 - February 13, 2012

DEWAAY FINANCIAL NETWORK, LLC

BD
CRD#: 30767
WHEAT RIDGE, CO
Past

November 27, 2007 - March 31, 2008

HARRISON DOUGLAS, INC.

BD
CRD#: 16515
WHEAT RIDGE, CO
Past

March 6, 2006 - October 26, 2007

WILSON-DAVIS & CO., INC.

BD
CRD#: 3777
CENTENNIAL, CO
Past

December 1, 2004 - March 3, 2006

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
HIGHLANDS RANCH, CO
Past

March 3, 2004 - October 4, 2004

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
BOCA RATON, FL
Past

November 13, 2002 - February 4, 2004

LAVAFLOW, INC.

BD
CRD#: 120444
NEW YORK, NY
Past

May 16, 2002 - February 4, 2004

NEXTRADE

BD
CRD#: 41087
CLEARWATER, FL
Past

June 30, 2000 - April 12, 2001

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

October 25, 1984 - May 2, 2000

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(9/25/2024)
RR
California
(5/7/2019)
RR
Maryland
(6/3/2019)
RR
North Carolina
(5/7/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/20/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
D-MERC SERVICES
D-MERC SERVICES | D-MERC SERVICES LLC

CRD#: 292310 / SEC#: , 8-70072

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
375 Balsam St, Lakewood, CO 80226
Mailing Address
375 Balsam St, Lakewood, CO 80226
Phone number
(303) 250-5923
Established
Colorado since 12/18/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MORE COWBELL LLCSHAREHOLDER
SARIAN, LORI CATESMANAGING PARTNER, CEO, CCO1870394

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

D-MERC SERVICES

CRD#: 292310Mills River, NC

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