Dennis A. Larson

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CRD#: 302868

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.

Dennis Arthur Larson was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1970. Dennis had worked at 6 firms and has passed the Series 7TO, SIE and Series 1 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.

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.

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®

None

Experience

Past

December 9, 2008 - February 13, 2024

OAK TREE SECURITIES, INC.

RIA

CRD#: 18126

SACRAMENTO, CA

Past

July 30, 2002 - December 13, 2005

OAK TREE SECURITIES, INC.

RIA

CRD#: 18126

SACRAMENTO, CA

Past

January 31, 1991 - April 2, 2024

OAK TREE SECURITIES, INC.

CRD#: 18126

SACRAMENTO, CA

Past

April 17, 1990 - December 31, 1990

E.F. DALY FINANCIAL GROUP

CRD#: 20434

Past

November 2, 1982 - February 8, 1990

BOARDWALK CAPITAL CORPORATION

CRD#: 10279

Past

February 7, 1979 - October 5, 1982

PLANNED INVESTMENTS INC.

CRD#: 5066

Past

May 24, 1978 - March 10, 1979

DAVE FRIES AND ASSOCIATES

CRD#: 1917

Past

November 2, 1970 - July 12, 1978

TCA MANAGEMENT CORPORATION

CRD#: 781

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

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/26/1970

Registered Representative Examination

Current Firm

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)

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).

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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

FINRA licenses (19 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

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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Firm Stability Insights

Dennis A. Larson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OAK TREE SECURITIES, INC.

OAK TREE SECURITIES, INC.

E.F. DALY FINANCIAL GROUP

BOARDWALK CAPITAL CORPORATION

PLANNED INVESTMENTS INC.

DAVE FRIES AND ASSOCIATES

TCA MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/26/1970

Current Firm

OAK TREE SECURITIES, INC.

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OAK TREE SECURITIES, INC.

TRUST BUT VERIFY

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