Dennis P. Curran
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 Patrick Curran, who also goes by Dennis P. Curran, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1988. Dennis had worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - March 28, 2016
LPL FINANCIAL LLC
July 24, 2015 - March 28, 2016
LPL FINANCIAL LLC
February 7, 2013 - April 17, 2013
MULTI-BANK SECURITIES, INC.
June 19, 2012 - September 28, 2012
SPC
June 6, 2012 - September 28, 2012
SIGMA FINANCIAL CORPORATION
June 9, 2011 - January 13, 2012
THE HUNTINGTON INVESTMENT COMPANY
June 1, 2011 - January 13, 2012
THE HUNTINGTON INVESTMENT COMPANY
October 25, 2010 - May 18, 2011
UBS FINANCIAL SERVICES INC.
April 2, 2009 - May 18, 2011
UBS FINANCIAL SERVICES INC.
November 7, 2008 - February 17, 2009
CHASE INVESTMENT SERVICES CORP.
November 7, 2008 - February 17, 2009
CHASE INVESTMENT SERVICES CORP.
March 19, 2007 - October 30, 2008
LEONARD & COMPANY
August 16, 2004 - May 10, 2005
J.J.B. HILLIARD, W.L. LYONS, LLC
October 20, 2000 - July 23, 2004
UBS FINANCIAL SERVICES INC.
June 29, 1998 - September 28, 2000
KEYBANC CAPITAL MARKETS INC.
June 17, 1994 - July 16, 1998
WALNUT STREET SECURITIES, INC.
February 25, 1993 - June 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 2, 1992 - March 2, 1993
FIDELITY BROKERAGE SERVICES LLC
January 25, 1990 - October 13, 1992
COMERICA SECURITIES
June 19, 1989 - August 21, 1989
FINANCIAL HORIZONS SECURITIES CORPORATION
March 22, 1988 - April 3, 1989
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
