Dennis S. Tygart

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CRD#: 1437285

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.

Dennis Scot Tygart, CFP®, who also goes by Dennis Scot Tygart, was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1985. Dennis had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dennis Scot Tygart

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.

1. WEALTH ADVISOR FOR REGIONS BANK, CUSTOMER SERVICE, DEPOSIT ACCOUNTS, LOANS AND CREDIT CARD PRODUCTS. TRUSTEE FOR DECEASED FATHER'S ESTATE

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®

CFP^®

Certified Financial Planner

Experience

Past

January 26, 2018 - January 7, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ATLANTA, GA

Past

January 24, 2018 - January 7, 2025

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ATLANTA, GA

Past

December 16, 2015 - November 15, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

December 14, 2015 - November 15, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

Past

April 25, 2012 - December 15, 2015

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

PALM BEACH, FL

Past

March 15, 2012 - December 15, 2015

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

PALM BEACH, FL

Past

March 17, 2011 - September 22, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

January 3, 2011 - September 22, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATLANTA, GA

Past

December 24, 2009 - December 31, 2010

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

CRD#: 35419

ATLANTA, GA

Past

February 8, 2007 - February 2, 2009

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

OMAHA, NE

Past

February 2, 2007 - February 2, 2009

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

OMAHA, NE

Past

December 17, 2002 - January 9, 2007

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

OMAHA, NE

Past

December 17, 2002 - January 9, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

OMAHA, NE

Past

August 30, 1999 - October 1, 2002

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

November 26, 1985 - July 16, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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: 10/17/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1986

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: 11/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2006

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Firm Stability Insights

Dennis S. Tygart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE DISTRIBUTORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/1996

Series 63

Date: 3/6/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

Series 24

Date: 12/12/2006

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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