Dennis Van
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 Van was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2005 - October 31, 2012
FISHER INVESTMENTS
October 25, 1993 - July 6, 2000
WELLS FARGO SECURITIES INC.
May 19, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
May 16, 1990 - June 9, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1989 - May 16, 1990
LEHMAN BROTHERS INC.
March 17, 1988 - July 25, 1989
LEHMAN BROTHERS INC.
April 29, 1987 - April 5, 1988
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
