Dennis A. White
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 Alan White was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1995. Dennis had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - January 2, 2025
CETERA INVESTMENT ADVISERS LLC
November 11, 2011 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 11, 2011 - January 2, 2025
CETERA INVESTMENT SERVICES LLC
July 5, 2011 - December 13, 2011
LPL FINANCIAL LLC
July 5, 2011 - December 13, 2011
LPL FINANCIAL LLC
March 23, 2011 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
March 23, 2011 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 3, 2011 - March 4, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 4, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 1, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 1, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 25, 2007 - July 25, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
July 25, 2007 - November 21, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
December 19, 2006 - July 24, 2007
VISION ASSET MANAGEMENT INC
October 15, 2003 - July 24, 2007
VISION INVESTMENT SERVICES, INC.
October 9, 2002 - October 16, 2003
FISERV INVESTOR SERVICES, INC.
September 22, 1999 - April 29, 2002
M&I FINANCIAL ADVISORS, INC
February 26, 1998 - September 16, 1999
VOYA FINANCIAL ADVISORS, INC.
July 17, 1995 - January 29, 1998
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
