DW
Dennis S. Whyte
KESTRA ADVISORY SERVICES
Denver, CO 80210
Some features on this profile are disabled
CRD#: 2485400
DW
Professional summary
Dennis Stuart Whyte, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Denver, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Denver, Colorado.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Dennis has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 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.
Business Name: Dennis S. Whyte, Inc. Inv Rel: Yes Address: 3178 S. Sedalia Way Aurora CO 80013 NOB: Investment Advisory (RIA, IAR, Financial Planning, etc.) POS: Owner Start Date: 2/1/2007 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: President, operations. Business Name: Kestra Advisory Services, LLC Inv Rel: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC POS: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Money Penny LLC. DBA Sindrich and Associates Inv Rel: Yes Address: 1490 South Pearl Street Denver CO 80210 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC POS: Wealth Advisor Start Date: 1/1/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Help client determine goals and objectives , develop appropriate strategies based on their specific objectives using a wide array of investment and insurance products. Business Name: UNIVERSITY CHURCH OF CHRIST POS: Youth Deacon NOB: Youth Deacon INV REL: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 4 START DATE: 12/15/2023 ADDRESS: 2000 S. Milwaukee St., Denver CO 80210 DESCRIPTION: Plan and participate in youth activities and events, fund raising, some budgeting (Not primary), mentoring, teaching. Working closely with the youth minister re: communication to youth and parents, recruiting volunteers for events and activities.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Stuart Whyte'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®
Start date: 2006
Experience
Current
April 20, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1490 S. Pearl St., Denver, CO 80210RIA
CRD#: 283330
Denver, CO
Current
January 2, 2008 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1490 S. Pearl, Denver, CO 80210BD
CRD#: 42046
Denver, CO
Past
January 2, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DENVER, CO
Past
November 19, 2003 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
DENVER, CO
Past
February 26, 1996 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DENVER, CO
Past
May 23, 1994 - January 6, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 23, 1994 - January 6, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/2/2008)
RR
California(7/29/2014)
RR
Colorado(1/2/2008)
IAR
Colorado(4/20/2016)
RR
Florida(7/30/2014)
RR
Georgia(1/2/2008)
RR
Illinois(7/7/2014)
RR
Iowa(2/27/2015)
RR
Kansas(2/20/2024)
RR
Missouri(9/16/2015)
RR
Nebraska(10/18/2022)
RR
New Hampshire(3/20/2025)
RR
New Mexico(1/2/2008)
RR
New York(1/2/2008)
RR
North Carolina(2/21/2024)
RR
Oklahoma(1/2/2008)
RR
South Carolina(4/15/2008)
RR
Texas(1/2/2008)
RR
Utah(10/10/2017)
RR
Virginia(6/17/2021)
RR
Washington(12/24/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
