Dennis R. Creasbaum
Professional summary
Dennis Richard Creasbaum was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis Richard Creasbaum was a registered financial advisor .
Dennis is a previously registered financial advisor and started their career in finance in 1997. Dennis had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2009 - September 13, 2010
CUNA BROKERAGE SERVICES, INC.
August 6, 2009 - September 13, 2010
CUNA BROKERAGE SERVICES, INC.
July 15, 2005 - March 3, 2009
WELLS FARGO INVESTMENTS, LLC
July 15, 2005 - March 3, 2009
WELLS FARGO INVESTMENTS, LLC
July 30, 2004 - July 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2004 - July 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - August 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 10, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 8, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
