Dennis A. Korte

RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES

Canyon Lake, CA 92587

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CRD#: 2567562

Professional summary

Dennis Alfred Korte is a registered financial advisor currently at RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES located in Canyon Lake, California.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Dennis has worked at 4 firms and has passed the Series 65, Series 63 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.

Railroad Canyon Insurance Address is Same 31566 Railroad Canyon Road Canyon Lake, CA 92587..... Business is Not Investment Related Insurance Broker as Owner Licensed 12-1992 to present 20 hours per week Selling Life Insurance and Annuity Policies

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Alfred Korte'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

December 8, 2010 - Present

RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES

Office #1: 31566 Railroad Canyon Road Suite 2-149, Canyon Lake, CA 92587

RIA

CRD#: 150168

Canyon Lake, CA

Past

August 20, 2002 - December 31, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

CANYON LAKE, CA

Past

February 8, 1995 - June 17, 2002

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

December 20, 1994 - January 5, 1995

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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

California
(12/8/2010)

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: 3/27/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/8/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES

KORTE,DENNIS, ALFRED | RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES | RAILROAD CANYON FINANCIAL SERVICES

CRD#: 150168 / SEC#: 801-71587

RIA

Registered Investment Advisory firm - (3/17/2011 Terminated)

California

Registered Investment Advisory firm - (2/3/2011 Approved)

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

31566 Railroad Canyon Road Suite 2-149, Canyon Lake, CA 92587

Mailing Address

Phone number

(951) 244-8068

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Dennis A. Korte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Alfred Korte's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES

TRANSAMERICA FINANCIAL ADVISORS, INC.

NYLIFE SECURITIES LLC

SUNAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2009

Series 63

Date: 1/3/1995

Series 6

Date: 12/8/1994

Current Firm

RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES

Contact information

Documents

Red Flags

Company Information

RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES

TRUST BUT VERIFY

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