Dennis E. Turner
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 E Turner, who also goes by Dennis Edmond Turner, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1986. Dennis had worked at 8 firms and has passed the Series 65, Series 63, Series 72, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 52, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2024 - August 11, 2025
LPL FINANCIAL LLC
January 4, 2024 - August 11, 2025
LPL FINANCIAL LLC
July 29, 2022 - January 3, 2023
B. RILEY WEALTH ADVISORS, INC.
January 4, 2022 - July 22, 2022
NATIONAL SECURITIES CORPORATION
November 3, 2020 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
November 2, 2020 - January 3, 2023
B. RILEY WEALTH MANAGEMENT
February 13, 2013 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
June 14, 2011 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
June 14, 2011 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
July 7, 2010 - May 23, 2011
WADDELL & REED
July 6, 2010 - May 23, 2011
WADDELL & REED
May 9, 2005 - July 7, 2010
MORGAN KEEGAN & COMPANY, LLC
September 23, 2004 - July 7, 2010
MORGAN KEEGAN & COMPANY, LLC
September 25, 1986 - September 23, 2004
NBC CAPITAL MARKETS GROUP, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/21/2001
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
