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Mark Alan Dennis

Mark A. Dennis

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CRD#: 2826360
Mark Alan Dennis

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.

Mark Alan Dennis, CFP® was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 9 firms and has passed the Series 66, Series 7, Series 6 and Series 24 exams.

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®
CFP®

Certified Financial Planner

Start date: 2007

Experience

Past

March 11, 2014 - March 17, 2015

RIVER CAPITAL ADVISORS, LC

RIA
CRD#: 133706
JACKSONVILLE, FL
Past

August 18, 2010 - December 31, 2013

A1A WEALTH MANAGEMENT, INC.

RIA
CRD#: 153977
FERNANDINA BEACH, FL
Past

September 25, 2007 - April 30, 2010

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
JACKSONVILLE, FL
Past

January 2, 2004 - April 30, 2010

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
JACKSONVILLE, FL
Past

November 26, 2002 - December 31, 2003

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

March 8, 2002 - August 19, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 14, 2001 - February 12, 2002

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
MORRISTOWN, NJ
Past

May 1, 2001 - October 23, 2001

FIELD LOGAN & CO., LLC

BD
CRD#: 44409
GREENBRAE, CA
Past

May 28, 1999 - May 16, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 23, 1996 - June 8, 1999

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
RR
IAR
Series 66
Date: 3/16/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/21/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/14/2004
General Securities Principal Examination

Current Firm

RC
RIVER CAPITAL ADVISORS, LC
RIVER CAPITAL ADVISORS, LC

CRD#: 133706 / SEC#: 801-64178

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Contact information

Main Address
5011 Gate Parkway Building 100, Suite 300, Jacksonville, FL 32256
Mailing Address
Phone number
(904) 398-2075
Established
Firm type
Fiscal year end
# of Employees
6

Documents

Latest Form ADV

Part 2 Brochures

20240430 RIVER CAPITAL ADV PART 2A (4/30/2024)

Regulatory assets under management

Total Number of Accounts666
AUM (Assets Under Management)$ 293,612,744

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

RIVER CAPITAL ADVISORS, LC

CRD#: 133706

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