Dennis B. Gianoli
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 Bernard Gianoli, who also goes by Denny Gianoli, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1985. Dennis had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2019 - February 14, 2020
AVANTAX ADVISORY SERVICES
October 25, 2019 - February 14, 2020
AVANTAX INVESTMENT SERVICES, INC.
December 16, 2013 - October 25, 2019
1ST GLOBAL ADVISORS INC
July 18, 1994 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
December 9, 1992 - July 18, 1994
FIVE STAR RESOURCES, INC.
September 11, 1992 - December 8, 1992
AVANTAX INVESTMENT SERVICES, INC.
July 2, 1986 - April 21, 1987
SENTRA SECURITIES CORPORATION
December 23, 1985 - September 29, 1992
TRIPLE CHECK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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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