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DL

Dennis G. Lund

Some features on this profile are disabled
CRD#: 2526962
DL

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 George Lund was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1994. Dennis had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

March 14, 2016 - January 12, 2021

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
Reston, VA
Past

February 5, 2016 - March 19, 2019

HAMMOND ILES WEALTH ADVISORS

RIA
CRD#: 136372
Reston, VA
Past

January 20, 2010 - February 5, 2016

SSN ADVISORY, INC.

RIA
CRD#: 126090
RESTON, VA
Past

January 7, 2010 - March 2, 2016

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
RESTON, VA
Past

July 25, 2002 - December 31, 2009

MEDALLION ADVISORY SERVICES, LLC

RIA
CRD#: 113788
RESTON, VA
Past

July 10, 2002 - December 31, 2009

MEDALLION INVESTMENT SERVICES, INC.

BD
CRD#: 45314
RESTON, VA
Past

July 13, 2000 - July 25, 2002

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
RESTON , VA
Past

August 25, 1999 - July 22, 2002

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

April 29, 1998 - August 30, 1999

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

February 12, 1998 - March 6, 1998

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Past

September 14, 1994 - February 25, 1998

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/7/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/13/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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