Dennis C. Tubbergen

PERSONAL LEGACY PLANNERS

Grand Rapids, MI 49544-8252

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CRD#: 2505625

Professional summary

Dennis Clare Tubbergen, who also goes by Dennis C Tubbergen, is a registered financial advisor currently at PERSONAL LEGACY PLANNERS located in Grand Rapids, Michigan.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Dennis has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis C Tubbergen

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.

1. MEMBER TG LEASING--REAL ESTATE/PROPERTY MANAGEMENT. NON-INVESTMENT RELATED SINCE JUNE 2011. SPEND APPROX 1 HR PER MONTH. 2. PLP SERVICES, LLC - 961 FOUR MILE RD NW, GRAND RAPIDS, MI 49544. NON-INVESTEMENT RELATED SINCE 04/2001. APPROXIMATELY 10-20 HOURS PER MONTH ON THIS ACTIVITY; CASE DESIGN, WHOLESALE FIXED LIFE AND ANNUITY PRODUCTS. 3. PLP Metals, LLC - 961 FOUR MILE RD NW, GRAND RAPIDS, MI 49544 Investment Related since November 2013. Approximately 10 hours per month on this activity. buys and sells precious metals. 4. DCT Management and Consulting, LLC. 961 FOUR MILE RD NW, GRAND RAPIDS, MI 49544 Non-Investment Related since 03/2015. Approximately 1 hour per month on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Clare Tubbergen'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®

None

Experience

Current

May 12, 2020 - Present

PERSONAL LEGACY PLANNERS

Office #1: 961 Four Mile Road Nw Suite B, Grand Rapids, MI 49544-8252

RIA

CRD#: 153996

Grand Rapids, MI

Past

February 3, 2014 - September 12, 2016

PERSONAL LEGACY PLANNERS

RIA

CRD#: 153996

GRAND RAPIDS, MI

Past

November 1, 2010 - December 31, 2010

PERSONAL LEGACY PLANNERS

RIA

CRD#: 153996

GRAND RAPIDS, MI

Past

January 27, 2006 - February 24, 2011

USA ADVANCED PLANNERS INC.

CRD#: 131282

GRAND RAPIDS, MI

Past

June 18, 2003 - December 31, 2013

USA WEALTH MANAGEMENT LLC

RIA

CRD#: 122082

GRAND RAPIDS, MI

Past

July 17, 2000 - January 25, 2006

USA FINANCIAL SECURITIES LLC

CRD#: 103857

ADA, MI

Past

September 21, 1998 - August 11, 2000

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

February 14, 1995 - August 6, 1998

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

July 6, 1994 - February 14, 1995

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

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

Michigan
(5/12/2020)

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: 11/1/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/5/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/1/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2000

General Securities Principal Examination

Current Firm

PERSONAL LEGACY PLANNERS

PERSONAL LEGACY PLANNERS | VERITAS SPECIALIZED INVESTMENT SERVICES, LLC | PLP ADVISORS, LLC

CRD#: 153996 / SEC#: 801-76962

RIA

Registered Investment Advisory firm - (3/3/2015 Terminated)

Michigan

Registered Investment Advisory firm - (5/22/2014 Approved)

Missouri

Registered Investment Advisory firm - (9/12/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/24/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

961 Four Mile Road Nw Suite B, Grand Rapids, MI 49544-8252

Mailing Address

Phone number

(866) 921-3613

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

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Dennis C. Tubbergen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Clare Tubbergen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSONAL LEGACY PLANNERS

PERSONAL LEGACY PLANNERS

USA ADVANCED PLANNERS INC.

USA WEALTH MANAGEMENT LLC

USA FINANCIAL SECURITIES LLC

USALLIANZ SECURITIES, INC.

INVESTORS CAPITAL CORP.

MARINER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2019

Series 63

Date: 7/1/1994

Series 7

Date: 1/5/2000

Series 6

Date: 7/1/1994

Series 24

Date: 4/14/2000

Current Firm

PERSONAL LEGACY PLANNERS

Contact information

Documents

Red Flags

Company Information

PERSONAL LEGACY PLANNERS

TRUST BUT VERIFY

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