Dennis M. Connor

CORNERSTONE ASSET MANAGEMENT

WINCHESTER, VA 22601

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CRD#: 1372669

Professional summary

Dennis Michael Connor is a registered financial advisor currently at CORNERSTONE ASSET MANAGEMENT located in Winchester, Virginia.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Dennis has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

I AM A REGISTERED REPRESENTATIVE WITH SYNDICATED CAPITAL, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Michael Connor'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®

None

Experience

Current

August 19, 1993 - Present

CORNERSTONE ASSET MANAGEMENT

Office #1: 116 South Stewart St, Winchester, VA 22601

RIA

CRD#: 104539

WINCHESTER, VA

Past

January 2, 2003 - December 31, 2021

SYNDICATED CAPITAL, INC.

CRD#: 29037

WINCHESTER, VA

Past

June 18, 1985 - December 31, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(11/15/2016)

IAR

Virginia
(8/30/1993)

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: 6/24/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Current Firm

CORNERSTONE ASSET MANAGEMENT

CAMCO | CORNERSTONE ASSET MANAGEMENT, INC. | CORNERSTONE ASSET MANAGEMENT

CRD#: 104539 / SEC#: 801-63659

RIA

Registered Investment Advisory firm - (3/31/2015 Terminated)

Florida

Registered Investment Advisory firm - (11/9/2005 Terminated)

Maryland

Registered Investment Advisory firm - (11/10/2016 Approved)

Texas

Registered Investment Advisory firm - (3/11/2005 Terminated)

Virginia

Registered Investment Advisory firm - (3/31/2015 Approved)

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).

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Contact information

Main Address

120 South Stewart Street, Winchester, VA 22601-4168

Mailing Address

Phone number

(540) 313-4426

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	255
AUM (Assets Under Management)	$ 56,888,695

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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Dennis M. Connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Michael Connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE ASSET MANAGEMENT

SYNDICATED CAPITAL, INC.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/1993

Series 63

Date: 7/3/1985

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Current Firm

CORNERSTONE ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE ASSET MANAGEMENT

TRUST BUT VERIFY

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