Dennis D. Ross
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 Dean Ross was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1992. Dennis had worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 29, 2023 - July 21, 2026
CETERA INVESTMENT ADVISERS LLC
July 21, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
July 20, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
July 20, 2021 - July 21, 2026
CETERA WEALTH SERVICES, LLC
July 20, 2021 - July 21, 2026
CETERA INVESTMENT SERVICES LLC
July 20, 2021 - July 21, 2026
CETERA FINANCIAL SPECIALISTS LLC
July 20, 2021 - July 21, 2026
CETERA ADVISORS LLC
October 1, 2012 - July 13, 2021
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 13, 2021
J.P. MORGAN SECURITIES LLC
May 14, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 19, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 18, 2008 - March 1, 2010
NATIONWIDE SECURITIES, LLC
August 25, 1998 - September 3, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 10, 1992 - August 11, 1998
UBS FINANCIAL SERVICES INC.
September 22, 1992 - September 25, 1992
MML INVESTORS SERVICES, LLC
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
| Bond | 1 |
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.
