Barry W. Dennis

WAVECREST SECURITIES LLC

Brentwood, TN 37027

Some features on this profile are disabled

CRD#: 2973244

Professional summary

Barry Wayne Dennis is a registered financial professional currently at WAVECREST SECURITIES LLC located in Brentwood, Tennessee.

Barry is registered as a RR (Registered Representative) and started their career in finance in 1998. Barry has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Barry Wayne Dennis'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®

None

Experience

Current

March 14, 2018 - Present

WAVECREST SECURITIES LLC

Office #1: 205 Powell Place, Brentwood, TN 37027

CRD#: 160135

Brentwood, TN

Past

August 20, 2013 - February 24, 2015

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

January 19, 2011 - April 16, 2012

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

June 5, 2009 - January 6, 2011

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

July 23, 2004 - April 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

February 21, 2002 - April 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 20, 1998 - June 29, 2000

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Tennessee
(9/19/2023)

Utah
(5/3/2018)

Exams

State Security Law Exam

Series 63

Date: 5/2/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/16/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WAVECREST SECURITIES LLC

CRD#: 160135 / SEC#: , 8-69029

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

205 Powell Place, Brentwood, TN 37027

Mailing Address

205 Powell Place, Brentwood, TN 37027

Phone number

(646) 558-6322

Established

Delaware since 12/02/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WAVECREST HOLDINGS LLC	OWNER
CREIGHTON, JOHN MATTHEW	FINOP	1909492
MACK, KRISTOFFER B	PRESIDENT & MANAGING MEMBER	1600055
RAPELLO, PAUL STUART	CHIEF COMPLIANCE OFFICER & MANAGING MEMBER	1726017

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.

Similar Advisors

Thomas Ennis

TRUIST ADVISORY SERVICES, INC.

IAR

SUITE 620, TN

James Parker

MORGAN STANLEY

IAR

Franklin, TN

Steven Glasgow

GLOBAL RETIREMENT PARTNERS LLC

IAR

Nashville, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Barry W. Dennis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Barry Wayne Dennis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANACCORD GENUITY LLC

STERNE, AGEE & LEACH, INC.

CHAPDELAINE TULLETT PREBON, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/2018

SIE

Date: 10/1/2018

Series 7

Date: 4/17/1998

Series 24

Date: 6/16/2010

FINRA

Current Firm

WAVECREST SECURITIES LLC

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WAVECREST SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors