Dennis Dale Mesward, CFP | Financial Professional | Colorado Springs, Colorado

Professional summary

Dennis Dale Mesward, CFP® is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Colorado Springs, Colorado and CABOT LODGE SECURITIES LLC located in Colorado Springs, Colorado.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dennis has worked at 7 firms and has passed the Series 63, SIE, Series 7 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.

1) DENNIS D MESWARD, CFP, COLORADO SPRINGS, CO, AGENT SINCE 5/1996, OFFERING INSURANCE PRODUCTS TO MY CLIENTS,(FIXED INSURANCE PRODUCTS SUCH AS FIXED ANNUITIES, EQUITY-INDEX ANNUITIES, TERM AND PERMANENT LIFE INSURANCE, 20 HOURS PER MONTH DURING TRADING HOURS. 2) DENNIS MESWARD, NON-INVESTMENT RELATED, COLORADO SPRINGS, CO, HIGH SCHOOL SOCCER COACHING VOLUNTEER, ASSISTANT COACH, 2/2021, 40 HOURS PER MONTH, ZERO HOURS DURING TRADING HOURS, ASSISTANT COACCH FOR BOTH BOYS AND GIRLS HIGH SCHOOL SOCCER TEAMS AT THE CLASSICAL ACADEMY. 3) DENNIES MESWARD, NON-INVESTMENT RELATED, COLORADO SPRINGS, CO, ONLINE SALES, SELLER,10/2001, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING HOURS, SELL ITEMS ON SITES LIKE EBAY THAT I OWN WHICH ARE COMPLETELY UNRELATED TO THE SECURITIES BUSINESS. ITEMS INCLUDE SUCH THINGS AS BICYCLE PARTS, AUTP PARTS, HOUSEHOLD ITEMS, ETC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Dale Mesward's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

July 7, 2011 - Present

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

Colorado Springs, CO

Current

July 5, 2013 - Present

CABOT LODGE SECURITIES LLC

BD

CRD#: 159712

COLORADO SPRINGS, CO

Past

June 24, 2011 - July 8, 2013

ALLIED BEACON PARTNERS, INC.

BD

CRD#: 46227

COLORADO SPRINGS, CO

Past

February 15, 2011 - June 23, 2011

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

ATLANTA, GA

Past

February 14, 2011 - June 23, 2011

GIRARD SECURITIES, INC.

BD

CRD#: 18697

ATLANTA, GA

Past

June 23, 2003 - February 11, 2011

QA3 FINANCIAL LLC

RIA

CRD#: 104957

COLORADO SPRINGS, CO

Past

June 23, 2003 - February 11, 2011

QA3 FINANCIAL CORP.

BD

CRD#: 14754

COLORADO SPRINGS, CO

Past

June 11, 1996 - June 19, 2003

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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).

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Colorado
(7/7/2011)

RR

Colorado
(7/8/2013)

RR

Florida
(1/10/2024)

IAR

Florida
(2/13/2024)

RR

Texas
(7/5/2013)

IAR

Texas
(8/29/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

Series 63

Date: 5/12/1997

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 7

Date: 10/30/1996

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 6/10/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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

425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173

Mailing Address

Phone number

(212) 388-6200

Established

Firm type

Fiscal year end

# of Employees

42

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 2-25-25 (2/25/2025)

Regulatory assets under management

Total Number of Accounts	2,073
AUM (Assets Under Management)	$ 628,729,517

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

Firm Stability Insights

Dennis D. Mesward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Dale Mesward's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

ALLIED BEACON PARTNERS, INC.

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

CL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/30/1996

Series 6

Date: 6/10/1996

FINRA

Current Firm

CL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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