Dennis J. Brown

INVESTMENT INITIATIVES

Alexandria, VA

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CRD#: 1637279

Professional summary

Dennis John Brown is a registered financial advisor currently at INVESTMENT INITIATIVES, LLC located in Alexandria, Virginia.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Dennis has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis John Brown'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

March 28, 2014 - Present

INVESTMENT INITIATIVES, LLC

RIA

CRD#: 170334

Alexandria, VA

Past

October 15, 2010 - April 3, 2014

NORTH NASSAU ADVISORS, LLC

RIA

CRD#: 143169

ALEXANDRIA, VA

Past

October 5, 2010 - April 3, 2014

NORTH NASSAU ADVISORS, LLC

CRD#: 143169

ALEXANDRIA, VA

Past

March 18, 2010 - October 1, 2010

EQUITAS AMERICA, LLC

RIA

CRD#: 39806

MAUMEE, OH

Past

March 6, 1996 - October 1, 2010

EQUITAS AMERICA, LLC

CRD#: 39806

MAUMEE, OH

Past

January 18, 1989 - November 17, 1995

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

March 25, 1987 - March 1, 1988

J. W. KORTH & COMPANY

CRD#: 17090

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

Michigan
(4/3/2014)

IAR

Ohio
(3/28/2014)

IAR

Virginia
(4/10/2014)

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: 3/25/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/1989

General Securities Principal Examination

Current Firm

INVESTMENT INITIATIVES, LLC

BROWN, DENNIS J | INVESTMENT INITIATIVES, LLC

CRD#: 170334 / SEC#:

Michigan

Registered Investment Advisory firm - (4/2/2014 Approved)

Ohio

Registered Investment Advisory firm - (3/28/2014 Approved)

Virginia

Registered Investment Advisory firm - (4/10/2014 Approved)

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Contact information

Main Address

Alexandria, VA

Mailing Address

Phone number

(800) 763-5763

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 27,123,421

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Dennis J. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis John Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH NASSAU ADVISORS, LLC

NORTH NASSAU ADVISORS, LLC

EQUITAS AMERICA, LLC

EQUITAS AMERICA, LLC

MARINER FINANCIAL SERVICES, INC.

J. W. KORTH & COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/2010

Series 63

Date: 4/9/1987

Series 7

Date: 3/21/1987

Series 24

Date: 9/26/1989

Current Firm

INVESTMENT INITIATIVES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTMENT INITIATIVES, LLC

TRUST BUT VERIFY

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