Denise C. Rudy

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CRD#: 1325315

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.

Denise Claire Rudy, who also goes by Denise Claire Flynn, was a registered financial professional .

Denise is a previously registered financial professional and started their career in finance in 1985. Denise had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Denise Claire Flynn

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

January 10, 2017 - January 2, 2020

NORTHLANDING FINANCIAL PARTNERS, LLC

RIA

CRD#: 167055

ROCHESTER, NY

Past

December 20, 2016 - December 31, 2016

NORTHLANDING FINANCIAL PARTNERS, LLC

RIA

CRD#: 167055

The Villages, FL

Past

October 29, 2010 - December 31, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ROCHESTER, NY

Past

March 20, 1985 - March 20, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

March 20, 1985 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 20, 1985 - January 16, 2015

EQUITABLE ADVISORS, LLC

CRD#: 6627

ROCHESTER, 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".

NORTHLANDING FINANCIAL PARTNERS, LLC

CRD#: 167055 / SEC#: 801-77720

RIA

Registered Investment Advisory firm - (3/27/2013 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.

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 65

Date: 7/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/1999

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/6/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/21/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORTHLANDING FINANCIAL PARTNERS, LLC

CRD#: 167055 / SEC#: 801-77720

RIA

Registered Investment Advisory firm - (3/27/2013 Approved)

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Contact information

Main Address

90 Linden Oaks Suite 220, Rochester, NY 14625

Mailing Address

Phone number

(585) 497-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2023 08 14 NORTHLANDING FINANCIAL PARTNERS FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	418
AUM (Assets Under Management)	$ 129,255,972

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

Denise C. Rudy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHLANDING FINANCIAL PARTNERS, LLC

EQUITABLE ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

NORTHLANDING FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/1999

Series 63

Date: 1/4/1985

SIE

Date: 1/16/2015

Series 7

Date: 10/14/1999

Series 22

Date: 11/6/1990

Series 6

Date: 12/21/1984

Current Firm

NORTHLANDING FINANCIAL PARTNERS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHLANDING FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

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