DL
Dennis M. Lomax
CETERA INVESTMENT ADVISERS LLC
LIGHTHOUSE POINT, FL 33064
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CRD#: 1928772
DL
Professional summary
Dennis Michael Lomax is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lighthouse Point, Florida and CETERA WEALTH SERVICES, LLC located in Lighthouse Point, Florida.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Dennis has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.
(1) D.L. ENTERPRISES OF PALM BEACH, INC; SINCE 02/21/1997; 113 DAVIT DRIVE, NORTH PALM BEACH, FL, 33408; PRESIDENT; using the corporation strictly to pay bills and expenses associated with doing business through summit brokerage; 3 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael Lomax'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®
NoneExperience
Current
April 7, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2050 E Sample Road, Lighthouse Point, FL 33064RIA
CRD#: 105644
LIGHTHOUSE POINT, FL
Current
August 22, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2050 E Sample Road, Lighthouse Point, FL 33064BD
CRD#: 13572
Lighthouse Point, FL
Past
March 17, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LIGHTHOUSE POINT, FL
Past
August 26, 2005 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
LIGHTHOUSE PT, FL
Past
July 15, 2005 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
LIGHTHOUSE POINT, FL
Past
August 5, 1997 - July 15, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
LIGHTHOUSE POINT, FL
Past
July 29, 1997 - July 15, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
April 17, 1996 - July 17, 1997
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
Past
August 1, 1994 - April 19, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
April 18, 1989 - August 4, 1994
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Alabama(9/20/2019)
RR
Arizona(9/20/2019)
RR
California(9/20/2019)
RR
Colorado(9/20/2019)
RR
Connecticut(9/20/2019)
RR
Delaware(9/20/2019)
RR
District of Columbia(9/20/2019)
RR
Florida(9/12/2019)
IAR
Florida(4/7/2023)
RR
Georgia(9/20/2019)
RR
Hawaii(6/24/2024)
RR
Idaho(9/20/2019)
RR
Illinois(9/20/2019)
RR
Indiana(9/20/2019)
RR
Kentucky(9/20/2019)
RR
Maine(9/6/2022)
RR
Maryland(9/20/2019)
RR
Massachusetts(9/20/2019)
RR
Michigan(9/20/2019)
RR
Minnesota(6/7/2023)
RR
Nevada(9/20/2019)
RR
New Jersey(9/20/2019)
RR
New Mexico(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
Ohio(9/20/2019)
RR
Oklahoma(9/20/2019)
RR
Oregon(7/13/2021)
RR
Pennsylvania(9/20/2019)
RR
South Carolina(9/20/2019)
RR
Tennessee(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Vermont(7/13/2021)
RR
Virginia(9/20/2019)
RR
Washington(9/20/2019)
RR
Wisconsin(9/20/2019)
RR
Wyoming(9/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Lighthouse Point, FL 33064TRUST BUT VERIFY
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