AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DV

Dean Vernoia

KATAMA SECURITIES LLC
Alpharetta, GA 30005
Some features on this profile are disabled
CRD#: 1723925
DV

Professional summary

Dean Vernoia, who also goes by Dean Anthony Vernoia, Dean Vernoia, is a registered financial professional currently at KATAMA SECURITIES LLC located in Alpharetta, Georgia and LAFISE SECURITIES LLC located in Miami, Florida.

Dean is registered as a RR (Registered Representative) and started their career in finance in 1987. Dean has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dean Anthony Vernoia | Dean Vernoia

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.
NOT APPLICABLE- CONSULTING POSITION: Consultant NATURE: Consulting work for Financial Services Companies. Consulting on operations, systems, policies, procedures, staffing, due diligence. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 05/20/2024 ADDRESS: 1850 East Gate Cove, Dunwoody GA 30338, United States DESCRIPTION: It will depend on the nature of the projects. I have had a few companies reach out to me regarding consultant work in the Financial Services Industry. I have prior experience as a COO of a broker-dealer and a registered Investment Advisory firm. My experience is very diversified in most aspects of running a financial services company. The projects may involve consulting companies on corporate operations, bd operations, products, staffing, policies, procedures, etc.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dean Vernoia's CRS (Customer Relationship Summary).
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

January 2, 2025 - Present

KATAMA SECURITIES LLC

Office #1: 6250 Shiloh Road, Suite 30-3, Alpharetta, GA 30005
BD
CRD#: 124667
Alpharetta, GA
Current

July 7, 2025 - Present

LAFISE SECURITIES LLC

Office #1: 2340 S Dixie Highway, Miami, FL 33133
BD
CRD#: 115624
Miami, FL
Past

March 31, 2021 - December 31, 2024

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Smyrna, GA
Past

July 30, 2020 - December 31, 2024

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Smyrna, GA
Past

July 10, 2017 - April 12, 2019

FORTA FINANCIAL GROUP, INC.

RIA
CRD#: 28784
Dunwoody, GA
Past

July 7, 2017 - April 12, 2019

FORTA FINANCIAL GROUP, INC.

BD
CRD#: 28784
AUSTIN, TX
Past

July 21, 2008 - December 31, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 124446
ATLANTA, GA
Past

August 22, 1997 - August 25, 1997

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

August 5, 1997 - August 12, 1997

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

July 21, 1997 - December 31, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

March 22, 1994 - May 22, 1997

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

June 23, 1993 - March 28, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

May 7, 1991 - June 23, 1993

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

March 21, 1989 - August 28, 1990

SOUTH RICHMOND SECURITIES, INC.

BD
CRD#: 14913
Past

August 18, 1987 - October 2, 1989

F.D. ROBERTS SECURITIES, INC.

BD
CRD#: 693

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/18/2025)
RR
District of Columbia
(3/25/2025)
RR
Florida
(10/14/2025)
RR
Georgia
(3/26/2025)
RR
New Jersey
(3/13/2025)
RR
Vermont
(4/18/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/16/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/23/1993
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/29/1989
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LAFISE SECURITIES LLC
LAFISE SECURITIES CORPORATION | LAFISE SECURITIES LLC

CRD#: 115624 / SEC#: 801-129796, 8-53506

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2340 S Dixie Highway, Miami, FL 33133
Mailing Address
2340 S Dixie Highway, Miami, FL 33133
Phone number
(305) 374-6001
Established
Florida since 06/01/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
AROMAZ LLCSHAREHOLDER
FRANCHY, LUISAFINOP, PFO, POO4451108
NAVARRO, JOSE PABLOCEO/CCO7278758

Regulatory assets under management

Total Number of Accounts6
AUM (Assets Under Management)$ 736,018,633

Disclosures

Regulatory Event2

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.

Company Information

LAFISE SECURITIES LLC

CRD#: 115624Alpharetta, GA 30005

TRUST BUT VERIFY

Monitor Dean Vernoia

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert L Busby
Robert BusbyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Atlanta, GA
TP
Tyrane PerryAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Atlanta, GA
AP
Alexander PaslayAdvisorCheck Check Mark
KESTRA ADVISORY SERVICES, LLC
IAR
RR
Woodstock, GA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.