Dennis C. Finch

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CRD#: 2482145

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 Charles Finch was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1994. Dennis had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 9, 2018 - October 2, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

DUBOIS, PA

Past

July 5, 2018 - October 2, 2018

LPL FINANCIAL LLC

CRD#: 6413

EBENSBURG, PA

Past

October 4, 2017 - February 13, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

EBENSBURG, PA

Past

October 4, 2017 - February 13, 2018

LPL FINANCIAL LLC

CRD#: 6413

EBENSBURG, PA

Past

January 23, 2014 - January 23, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

STATE COLLEGE, PA

Past

January 23, 2014 - February 14, 2018

NORTHWEST ADVISORS, INC.

RIA

CRD#: 154032

EBENSBURG, PA

Past

January 22, 2014 - October 4, 2017

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

STATE COLLEGE, PA

Past

December 7, 2011 - November 12, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

EDISON, NJ

Past

December 5, 2011 - November 12, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

EDISON, NJ

Past

June 9, 2009 - December 6, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SELINSGROVE, PA

Past

June 9, 2009 - December 6, 2011

LPL FINANCIAL LLC

CRD#: 6413

SELINSGROVE, PA

Past

January 10, 2008 - May 27, 2009

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BELLEFONTE, PA

Past

January 10, 2008 - May 27, 2009

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

BELLEFONTE, PA

Past

December 4, 2006 - December 21, 2007

M&T SECURITIES, INC.

RIA

CRD#: 17358

GETTYSBURG, PA

Past

December 4, 2006 - December 21, 2007

M&T SECURITIES, INC.

CRD#: 17358

GETTYSBURG, PA

Past

October 11, 2006 - December 1, 2006

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

WARRINGTON, PA

Past

October 10, 2006 - December 1, 2006

CITIZENS SECURITIES, INC.

CRD#: 39550

WARRINGTON, PA

Past

August 13, 2002 - October 4, 2006

M&T SECURITIES, INC.

RIA

CRD#: 17358

SOUTH HAMPTON, PA

Past

October 7, 2000 - October 4, 2006

M&T SECURITIES, INC.

CRD#: 17358

SOUTH HAMPTON, PA

Past

April 18, 2000 - October 7, 2000

KEYSTONE BROKERAGE, LLC

CRD#: 17445

WILLIAMSPORT, PA

Past

March 22, 1999 - April 10, 2000

MBSC, LLC

CRD#: 42430

NEW YORK, NY

Past

March 10, 1999 - April 10, 2000

DREYFUS INVESTMENT SERVICES COMPANY, LLC

CRD#: 17477

PITTSBURGH, PA

Past

November 3, 1998 - February 17, 1999

SUMMIT FINANCIAL SERVICES GROUP, INC.

CRD#: 7246

BETHLEHEM, PA

Past

May 8, 1997 - October 8, 1998

DREYFUS INVESTMENT SERVICES COMPANY, LLC

CRD#: 17477

PITTSBURGH, PA

Past

May 8, 1997 - October 8, 1998

MBSC, LLC

CRD#: 42430

NEW YORK, NY

Past

April 25, 1995 - March 8, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 8, 1994 - January 19, 1995

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, CA

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".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/16/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/2001

General Securities Principal Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
AUDETTE, MATTHEW JON	PRESIDENT AND CHIEF FINANCIAL OFFICER	4003349
ENYEDI, MATTHEW KLAUS	MANAGING DIRECTOR, NATIONAL SALES	4194266
GATES, GREGORY	MANAGING DIRECTOR, CHIEF INFORMATION OFFICER	7069201
JAMBUSARIA, ANERI	MANAGING DIRECTOR LPL SERVICES GROUP	7248335
MALFITANO, STEVEN THOMAS	SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER	3178848
MCHALE, JAMES	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	6052977
RICKETTS, JUDITH KOHOSKIE	EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER	2758924
SIMONICH, BRENT BLAIN	EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER	3254859
STEINMEIER, RICHARD C	CHIEF EXECUTIVE OFFICER AND DIRECTOR	5109512

Regulatory assets under management

Total Number of Accounts	2,369,378
AUM (Assets Under Management)	$ 618,922,975,737

Disclosures

Regulatory Event	208
Arbitration	58
Bond	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

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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Dennis C. Finch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

NORTHWEST ADVISORS, INC.

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

M&T SECURITIES, INC.

M&T SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

KEYSTONE BROKERAGE, LLC

MBSC, LLC

DREYFUS INVESTMENT SERVICES COMPANY, LLC

SUMMIT FINANCIAL SERVICES GROUP, INC.

DREYFUS INVESTMENT SERVICES COMPANY, LLC

MBSC, LLC

PRUDENTIAL EQUITY GROUP, LLC

MONTANO SECURITIES CORPORATION

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/1995

Series 63

Date: 5/18/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/7/1994

Series 24

Date: 1/9/2001

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

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