Benjamin H. Dean

DEAN WEALTH MANAGEMENT

Tyler, TX 75703

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CRD#: 1985201

Professional summary

Benjamin Herschel Dean, CFP®, who also goes by Ben Dean, Benjamin Hershel Dean, is a registered financial advisor currently at DEAN WEALTH MANAGEMENT, LLC located in Tyler, Texas.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Benjamin has worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.

Question & Answer

What are your service offerings?

Divorce Planning

Education Planning

Comprehensive Financial Planni...

Retirement Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Ben Dean | Benjamin Hershel Dean

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.

BENJAMIN DEAN IS A INDEPENDENT INSURANCE AGENT PRACTICING AS A SOLE PROPRIETOR. THIS ACTIVITY IS NOT INVESTMENT-RELATED. HIS OFFICE FOR HIS INSURANCE ACTIVITIES IS 17074 HWY 20 W LINDALE, TEXAS 75771. MR. DEAN START DATE FOR THIS RELATIONSHIP IS SEPTEMBER 1, 2014. TIME SPEND ON INSURANCE ACTVITIES VARIES FROM ZERO TO 6 HOURS PER MONTH. NONE OF MR. DEANS INSURANCE ACTIVITIES INTERFER WITH HIS TRADING OF SECURITIES DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Herschel Dean'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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

October 2, 2014 - Present

DEAN WEALTH MANAGEMENT, LLC

Office #1: 1026 Pruitt Place, Tyler, TX 75703Office #2: 17074 Hwy 20 W., Lindale, TX 75771

RIA

CRD#: 172563

Tyler, TX

Past

February 11, 2014 - February 28, 2014

CRD#: 8392

DALLAS, TX

Past

January 8, 1993 - June 28, 1996

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

May 23, 1991 - January 7, 1993

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

July 10, 1990 - June 7, 1991

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

September 19, 1989 - May 16, 1990

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

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

Texas
(10/2/2014)

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: 9/23/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/2/1992

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/14/1991

General Securities Principal Examination

Current Firm

DEAN WEALTH MANAGEMENT, LLC

DEAN WEALTH MANAGEMENT, LLC | SWORDS WEALTH MANAGEMENT, LLC

CRD#: 172563 / SEC#:

Texas

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

17074 Hwy 20 W., Lindale, TX 75771

Mailing Address

Phone number

(903) 526-6669

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	357
AUM (Assets Under Management)	$ 47,412,752

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Benjamin H. Dean

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

ONYX WEALTH ADVISORS, INC.

CAMBRIDGE LEGACY SECURITIES L.L.C.

WFG INVESTMENTS, INC.

WFG ADVISORS, LP

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

EDI FINANCIAL, INC.

RUSHMORE SECURITIES CORPORATION

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

PRINCIPAL FINANCIAL SECURITIES,INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1991

Series 63

Date: 11/22/1989

Series 7

Date: 9/16/1989

Series 53

Date: 1/2/1992

Series 24

Date: 8/14/1991

Current Firm

DEAN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DEAN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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