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Dennis Arthur Larson

CRD# 302868·Registered 1970 - 2024

Previously Registered: Being a previously registered professional could mean that Dennis 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.

Professional Summary

Dennis Arthur Larson was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 1970 - 2024. Dennis had worked at 6 firms and has passed the Series 7TO, SIE and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

56 years in the financial services industry

Current & Past Employments

OAK TREE SECURITIES, INC.·CRD# 18126

RIA

Sacramento, CA

December 9, 2008 - February 13, 2024

OAK TREE SECURITIES, INC.·CRD# 18126

RIA

Sacramento, CA

July 30, 2002 - December 13, 2005

OAK TREE SECURITIES, INC.·CRD# 18126

BD

Sacramento, CA

January 31, 1991 - April 2, 2024

E.F. DALY FINANCIAL GROUP·CRD# 20434

BD

April 17, 1990 - December 31, 1990

BOARDWALK CAPITAL CORPORATION·CRD# 10279

BD

November 2, 1982 - February 8, 1990

PLANNED INVESTMENTS INC.·CRD# 5066

BD

February 7, 1979 - October 5, 1982

DAVE FRIES AND ASSOCIATES·CRD# 1917

BD

May 24, 1978 - March 10, 1979

TCA MANAGEMENT CORPORATION·CRD# 781

BD

November 2, 1970 - July 12, 1978

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Current Firm

OT

OAK TREE SECURITIES, INC.

OAK TREE SECURITIES, INC.

CRD#: 18126 / SEC#: 801-39201, 8-36138

RIA

Registered Investment Advisory firm - SEC (5/25/2004 Terminated)

California

Registered Investment Advisory firm - SEC (3/30/2004 Approved)

Hawaii

Registered Investment Advisory firm - SEC (1/21/2009 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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).

Contact Information

Main Address

4049 First Street Suite 129, Livermore, CA 94551-4949

Mailing Address

4049 First Street Suite 129, Livermore, CA 94551-4949

Phone Number

(925) 245-0570

Established

California since 04/30/1986

Firm Type

Corporation

Fiscal Year End

April

Firm Size

Small

# of Employees

4

FINRA licenses (19 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
QUESADA, DANIEL MARTINEZ	PRESIDENT, CFO,	817404
DAHL, ERIC DREW	PRINCIPAL	735877
LARSON, DENNIS ARTHUR	REGISTERED REP	302868
WILLIAMS, PATRICIA JEAN	PRINCIPAL	1006661
DURDEN, JOHN KENNETH JR	FINANCIAL PRINCIPAL	860423
GODINEZ, DAVID GREGORY	PRINCIPAL, CHIEF COMPLIANCE OFFICER	2086793

Regulatory Assets Under Management

Total Number of Accounts

5

AUM (Assets Under Management)

$3,689,200

Disclosures

Regulatory Event

2

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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.

Helping individuals with death situations or considering taxable events & tax avoidance. No longer practices tax preparations but still have a few clients that require help. Start date: 1970. Owner of Larson Financial, dealing with insurance sales including variable annuities. Investment related. Number of hours per month, approximately 1 hour. Located in the FINRA approved branch office.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 1 — Registered Representative Examination

Passed Oct 1970

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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DL

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