Dennis M. Azary
Professional summary
Dennis Michael Azary is a registered financial professional currently at THIRD LAKE ASSOCIATES, LLC located in Tampa, Florida and BALLAST ROCK CAPITAL LLC located in Charleston, South Carolina.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 1993. Dennis has worked at 28 firms and has passed the Series 63, Series 65, Series 79TO, Series 52TO, Series 82TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 27, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dennis Michael Azary's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2024 - Present
THIRD LAKE ASSOCIATES, LLC
Office #1: 1600 East 8th Avenue,, Suite A-208, Tampa, FL 33605January 14, 2026 - Present
BALLAST ROCK CAPITAL LLC
Office #1: 460 King Street Suite 200, Charleston, SC 29403May 18, 2022 - August 21, 2024
GRAFINE CAPITAL PARTNERS LLC
January 24, 2022 - December 26, 2025
FINALIS SECURITIES LLC
May 1, 2017 - August 1, 2017
280 SECURITIES LLC
September 6, 2016 - June 15, 2018
LIBERTY GROUP, LLC
June 11, 2016 - June 19, 2018
MERCURY SECURITIES, LLC
May 3, 2016 - August 16, 2019
NEIGHBORLY SECURITIES
April 1, 2016 - August 28, 2017
BELVEDERE GLOBAL INVESTORS LLC
August 18, 2015 - February 2, 2016
XAMBALA CAPITAL, LLC
January 12, 2015 - September 14, 2015
BPM ADVISORS, INC.
November 17, 2014 - May 14, 2018
US CAPITAL GLOBAL SECURITIES, LLC
August 15, 2014 - December 23, 2015
SCENIC ADVISEMENT
April 7, 2014 - June 9, 2014
LOYAL3 SECURITIES INC.
March 7, 2014 - May 13, 2015
DECKER & CO, LLC
July 27, 2012 - December 31, 2014
BPM ADVISORS, INC.
July 26, 2012 - August 9, 2013
DRJ CAPITAL ADVISORS, LLC
June 20, 2012 - September 22, 2016
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
May 4, 2012 - February 8, 2022
GROWTH CAPITAL SERVICES, INC.
February 15, 2012 - April 8, 2015
VIANT CAPITAL LLC
January 23, 2012 - December 19, 2013
VWM INSURANCE SERVICES, LLC
January 12, 2012 - April 2, 2012
INTERNET SECURITIES
October 20, 2011 - January 6, 2014
WREN CAPITAL, LLC
August 25, 2011 - January 3, 2012
WINDFALL SECURITIES LLC
January 3, 2008 - September 24, 2010
W.R. HAMBRECHT + CO., LLC
January 18, 2005 - January 9, 2012
W.R. HAMBRECHT + CO., LLC
May 26, 1995 - September 17, 1998
TD AMERITRADE, INC.
May 5, 1994 - October 26, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 15, 1993 - April 29, 1994
UBS FINANCIAL SERVICES INC.
September 7, 1993 - October 8, 1993
PRIME CHARTER LTD.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/7/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 4/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
FINRA
Current Firm
BALLAST ROCK CAPITAL LLC
CRD#: 322170 / SEC#: , 8-70943
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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