Dennis L. Wallace

FORTUNE FINANCIAL ADVISORS

Overland Park, KS 66210

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CRD#: 1971959

Professional summary

Dennis Leon Wallace is a registered financial advisor currently at FORTUNE FINANCIAL ADVISORS, LLC located in Overland Park, Kansas.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Dennis has worked at 7 firms and has passed the Series 65, Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Leon Wallace'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

December 2, 2008 - Present

FORTUNE FINANCIAL ADVISORS, LLC

Office #1: 11600 College Blvd Suite 225, Overland Park, KS 66210

RIA

CRD#: 145799

Overland Park, KS

Past

January 1, 2004 - January 16, 2008

CETERA ADVISORS LLC

RIA

CRD#: 10299

OVERLAND PARK, KS

Past

January 1, 2004 - January 16, 2008

CETERA ADVISORS LLC

CRD#: 10299

OVERLAND PARK, KS

Past

May 28, 2002 - December 31, 2004

PROSPERITY NETWORK, INC

RIA

CRD#: 116331

OVERLAND PARK, KS

Past

March 18, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

OLATHE, KS

Past

February 17, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

April 8, 1992 - February 19, 1999

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

October 8, 1990 - April 11, 1992

GENEVA SECURITIES,INC.

CRD#: 16178

SCHAUMBURG, IL

Past

July 18, 1989 - October 31, 1990

BENCHMARK FINANCIAL GROUP, INC.

CRD#: 16025

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".

FORTUNE FINANCIAL ADVISORS, LLC

CRD#: 145799 / SEC#: 801-78728

RIA

Registered Investment Advisory firm - (11/14/2013 Approved)

Kansas

Registered Investment Advisory firm - (12/18/2013 Terminated)

Missouri

Registered Investment Advisory firm - (12/18/2013 Terminated)

Texas

Registered Investment Advisory firm - (12/18/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Kansas
(12/2/2008)

IAR

Texas
(11/17/2021)

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

IAR

Series 65

Date: 2/26/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/15/1989

General Securities Representative Examination

Current Firm

FORTUNE FINANCIAL ADVISORS, LLC

CRD#: 145799 / SEC#: 801-78728

RIA

Registered Investment Advisory firm - (11/14/2013 Approved)

Kansas

Registered Investment Advisory firm - (12/18/2013 Terminated)

Missouri

Registered Investment Advisory firm - (12/18/2013 Terminated)

Texas

Registered Investment Advisory firm - (12/18/2013 Terminated)

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Contact information

Main Address

11600 College Blvd Suite 225, Overland Park, KS 66210

Mailing Address

Phone number

(913) 393-0038

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FFA FORM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	564
AUM (Assets Under Management)	$ 202,370,734

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

Dennis L. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Leon Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PROSPERITY NETWORK, INC

VESTAX SECURITIES CORPORATION

VESTAX SECURITIES CORPORATION

WALNUT STREET SECURITIES, INC.

GENEVA SECURITIES,INC.

BENCHMARK FINANCIAL GROUP, INC.

Primary Firm SEC Registration

FORTUNE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/1997

Series 63

Date: 8/22/1989

Series 7

Date: 7/15/1989

Current Firm

FORTUNE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORTUNE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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