Brian K. Dennis

BRIAN DENNIS, CFP®

CALABASAS, CA 91301-5112

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CRD#: 1673491

Professional summary

Brian Keith Dennis, CFP® is a registered financial advisor currently at BRIAN DENNIS, CFP® located in Calabasas, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Brian has worked at 17 firms and has passed the Series 63, SIE 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.

BRIAN K. DENNIS IS A LICENSED ATTORNEY (95% OF TIME) AND LICENSED INSURANCE AGENT (3% OF TIME). HE ALSO MAINTAINS A REAL ESTATE BROKER LICENSE (NO MORE THAN 1% OF TIME) AND IS A NOTARY PUBLIC (NO MORE THAN 1% OF TIME). ALL ACTIVITIES CONDUCTED FROM HIS PRIVATE RESIDENCE IN STUDIO CITY, CA, 91604-2978.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Keith 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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

August 15, 2023 - Present

BRIAN DENNIS, CFP®

Office #1: 27001 W. Agoura Road Suite 350, Calabasas, CA 91301-5112

RIA

CRD#: 325735

CALABASAS, CA

Past

October 19, 2020 - November 22, 2022

EP WEALTH ADVISORS

RIA

CRD#: 111147

TORRANCE, CA

Past

January 13, 2017 - December 5, 2020

BRIAN DENNIS, CFP®

RIA

CRD#: 284498

BEVERLY HILLS, CA

Past

November 4, 2016 - January 23, 2017

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Beverly Hills, CA

Past

October 18, 2013 - October 31, 2016

SSN ADVISORY, INC.

RIA

CRD#: 126090

BEVERLY HILLS, CA

Past

May 4, 2012 - November 26, 2013

HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC

RIA

CRD#: 149564

FULLERTON, CA

Past

May 2, 2012 - October 31, 2016

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

BEVERLY HILLS, CA

Past

March 20, 2008 - October 31, 2011

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

BEVERLY HILLS, CA

Past

March 20, 2008 - October 31, 2011

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

BEVERLY HILLS, CA

Past

September 26, 2007 - March 24, 2008

EQUITY SERVICES, INC.

RIA

CRD#: 265

BEVERLY HILLS, CA

Past

September 26, 2007 - March 24, 2008

EQUITY SERVICES, INC.

CRD#: 265

BEVERLY HILLS, CA

Past

May 1, 2007 - September 11, 2007

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

SANTA MONICA, CA

Past

May 1, 2007 - September 11, 2007

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

SANTA MONICA, CA

Past

October 30, 2003 - May 4, 2007

EQUITY SERVICES, INC.

RIA

CRD#: 265

STUDIO CITY, CA

Past

October 10, 2003 - May 4, 2007

EQUITY SERVICES, INC.

CRD#: 265

STUDIO CITY, CA

Past

November 30, 2001 - September 22, 2003

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

STUDIO CITY, CA

Past

April 8, 1998 - September 8, 2003

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

August 14, 1997 - April 9, 1998

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

January 8, 1997 - August 21, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

January 16, 1996 - December 13, 1996

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

August 20, 1987 - December 31, 1995

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

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

California
(8/15/2023)

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: 12/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

BRIAN DENNIS, CFP®

BRIAN DENNIS WEALTH MANAGEMENT | DENNIS, BRIAN KEITH | BRIAN DENNIS, CFP®

CRD#: 325735 / SEC#:

California

Registered Investment Advisory firm - (8/15/2023 Approved)

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Contact information

Main Address

27001 W. Agoura Road Suite 350, Calabasas, CA 91301-5112

Mailing Address

27001 W. Agoura Road Suite 350, Calabasas, CA 91301-5112

Phone number

(310) 617-8024

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 472,483

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.

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Advisor Monitoring

Firm Stability Insights

Brian K. Dennis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Keith Dennis's CRS (Customer Relationship Summary).

Certified licenses

Experience

EP WEALTH ADVISORS

BRIAN DENNIS, CFP®

HORTER INVESTMENT MANAGEMENT, LLC

SSN ADVISORY, INC.

HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC

SECURITIES SERVICE NETWORK, LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CINCINNATI ANALYSTS, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

JOHN HANCOCK DISTRIBUTORS LLC

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/1987

SIE

Date: 10/31/2016

Series 7

Date: 8/15/1987

Current Firm

BRIAN DENNIS, CFP®

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BRIAN DENNIS, CFP®

TRUST BUT VERIFY

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