AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DC

Dean W. Cook

Some features on this profile are disabled
CRD#: 2539364
DC

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.

Dean William Cook was a registered financial professional .

Dean is a previously registered financial professional and started their career in finance in 1994. Dean had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 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 28, 2011 - November 14, 2012

NATIONAL PENSION & GROUP CONSULTANTS, INC

BD
CRD#: 613
KANSAS CITY, MO
Past

December 14, 2004 - September 1, 2020

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 125446
OMAHA, NE
Past

May 23, 2003 - December 31, 2003

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 125446
EDGEWOOD, KY
Past

February 19, 2003 - April 2, 2009

NATIONAL PENSION & GROUP CONSULTANTS, INC

BD
CRD#: 613
HEBRON, KY
Past

April 9, 2001 - October 7, 2002

ASSETMARK CAPITAL CORPORATION

BD
CRD#: 37583
PLEASANT HILL, CA
Past

March 31, 2000 - January 30, 2001

DONAHUE SECURITIES, INC.

BD
CRD#: 24330
CINCINNATI, OH
Past

March 11, 1999 - March 31, 2000

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

September 30, 1996 - March 11, 1999

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

September 19, 1996 - September 27, 1996

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

September 15, 1994 - August 19, 1996

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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: 5/12/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/14/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/18/2000
General Securities Principal Examination

Current Firm

NP
NATIONAL PENSION & GROUP CONSULTANTS, INC
NATIONAL PENSION & GROUP CONSULTANTS, INC | NATIONAL PENSION & GROUP CONSULTANTS, INC.

CRD#: 613 / SEC#: , 8-11206

BD
Terminated by SEC on 01/29/2019
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
3130 Broadway, Kansas City, MO 64111
Mailing Address
Phone number
Established
District of Columbia since 05/18/1961
Firm type
Corporation
Fiscal year end
April
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
JONES, BRADFORD RYANSHAREHOLDER6718248
JONES, BRYSON LEESHAREHOLDER3078547
JONES, RICHARD FORREST JRSHAREHOLDER3081842
ELLIOTT, STEPHEN ASHLEY SRCHIEF COMPLIANCE OFFICER, SECRETARY3247244
JONES, RICHARD FORRESTDIRECTOR,CHIEF EXECUTIVE OFFICER, PRESIDENT, TREASURER261633

Disclosures

Regulatory Event1

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

NATIONAL PENSION & GROUP CONSULTANTS, INC

CRD#: 613

TRUST BUT VERIFY

Monitor Dean Cook

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.