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DF

Dennis O. Felix

VAN CLEMENS & CO.
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 1317734
DF

Professional summary

Dennis Owen Felix is a registered financial professional currently at VAN CLEMENS & CO. INCORPORATED located in Minneapolis, Minnesota.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 1984. Dennis has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view Dennis Owen Felix'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

September 4, 2002 - Present

VAN CLEMENS & CO. INCORPORATED

Office #1: 900 Second Avenue South Suite 1500, Minneapolis, MN 55402Office #2: 900 Second Ave S Suite 1500, Minneapolis, MN 55402
BD
CRD#: 6914
Minneapolis, MN
Past

January 6, 1992 - September 3, 2002

MILLER JOHNSON STEICHEN KINNARD, INC.

BD
CRD#: 694
MINNEAPOLIS, MN
Past

April 15, 1991 - December 31, 1991

KENNEDY, MATHEWS, LANDIS, HEALY & PECORA, INCORPORATED

BD
CRD#: 27181
MINNEAPOLIS, MN
Past

November 21, 1984 - April 19, 1991

VAN CLEMENS & CO. INCORPORATED

BD
CRD#: 6914
MINNEAPOLIS, MN

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
Colorado
(4/7/2025)
RR
Minnesota
(9/4/2002)
RR
Texas
(4/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/1984
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 7
Date: 11/17/1984
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VAN CLEMENS & CO. INCORPORATED
VAN CLEMENS & CO. INCORPORATED

CRD#: 6914 / SEC#: , 8-18414

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

Main Address
900 Second Ave S Suite 1500, Minneapolis, MN 55402
Mailing Address
900 Second Ave S Suite 1500, Minneapolis, MN 55402
Phone number
(612) 758-9140
Established
Minnesota since 05/15/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 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#
VAN CLEMENS FINANCIAL CORPORATIONSHAREHOLDER
GODFREY, JOSEPH CHARLESCCO3074998
TROUSDALE, LAURENFINOP5622407

Disclosures

Regulatory Event7
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

VAN CLEMENS & CO. INCORPORATED

CRD#: 6914Minneapolis, MN 55402

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