David M. Dennis

DENNIS CAPITAL MANAGEMENT, L.L.C.

CINCINNATI, OH 45202

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CRD#: 1666154

Professional summary

David Michael Dennis is a registered financial advisor currently at DENNIS CAPITAL MANAGEMENT, L.L.C. located in Cincinnati, Ohio.

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

May 21, 2003 - Present

DENNIS CAPITAL MANAGEMENT, L.L.C.

Office #1: 20 W 9th Street, Cincinnati, OH 45202Office #2: 20 W. 9th Street, Cincinnati, OH 45202

RIA

CRD#: 126756

CINCINNATI, OH

Past

June 17, 1996 - June 3, 2003

J. D. SEIBERT & COMPANY, INC.

CRD#: 7884

CINCINNATI, OH

Past

February 23, 1995 - March 22, 1996

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

March 31, 1989 - February 22, 1995

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 20, 1987 - October 8, 1988

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

Ohio
(5/21/2003)

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

Series 63

Date: 9/11/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

DENNIS CAPITAL MANAGEMENT, L.L.C.

CRD#: 126756 / SEC#: 801-67725

RIA

Registered Investment Advisory firm - (9/14/2012 Terminated)

Ohio

Registered Investment Advisory firm - (4/26/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

20 W 9th Street, Cincinnati, OH 45202

Mailing Address

Phone number

(513) 241-1000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 26,674,000

Red Flags

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

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David M. Dennis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Dennis's CRS (Customer Relationship Summary).

Certified licenses

Experience

DENNIS CAPITAL MANAGEMENT, L.L.C.

J. D. SEIBERT & COMPANY, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/1987

Series 7

Date: 8/15/1987

Current Firm

DENNIS CAPITAL MANAGEMENT, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DENNIS CAPITAL MANAGEMENT, L.L.C.

TRUST BUT VERIFY

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