Dennis W. Lloyd
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 Weston Lloyd was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1994. Dennis had worked at 4 firms and has passed the Series 65, Series 63, Series 50, Series 52, Series 54 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2015 - December 20, 2022
COLUMBIA CAPITAL MANAGEMENT, LLC
August 22, 1996 - April 16, 1998
AMERICUS INVESTMENT CORP.
May 31, 1994 - April 28, 1995
GEORGE K. BAUM & COMPANY
January 1, 1994 - May 31, 1994
GKB, INC.
Primary Firm SEC Registration
COLUMBIA CAPITAL MANAGEMENT, LLC
CRD#: 112773 / SEC#: 801-55499
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
COLUMBIA CAPITAL MANAGEMENT, LLC
CRD#: 112773 / SEC#: 801-55499
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 102 |
| AUM (Assets Under Management) | $ 1,936,145,185 |
Red Flags
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