Dennis J. Wakely

LPL ENTERPRISE

TAMPA, FL 33607

Some features on this profile are disabled

CRD#: 3175008

Professional summary

Dennis Joseph Wakely, who also goes by Dennis Joseph Wakely Jr, Dennis Wakely, Dennis Joseph Wakely, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Tampa, Florida.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dennis has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Joseph Wakely Jr | Dennis Wakely | Dennis Joseph Wakely

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.

1.) ABRAHAMSEN FINANCIAL GROUP; YES INVESTMENT RELATED; 2520 HIGHWAY 35, SUITE 205, MANASQUAN, NJ 08736; INSURANCE SALES; LIFE INSURANCE AGENT; START DATE 05/2021 APPROX 50 HRS/MONTH; APPROX 50 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Joseph Wakely's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dennis Joseph Wakely'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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607

RIA

CRD#: 8733

TAMPA, FL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607

RIA

CRD#: 8733

TAMPA, FL

Past

September 8, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TAMPA, FL

Past

September 7, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

TAMPA, FL

Past

December 7, 2022 - September 6, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

HERNANDO BEACH, FL

Past

November 15, 2022 - September 5, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

June 15, 2021 - April 15, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Manasquan, NJ

Past

January 12, 2017 - May 26, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Bridgewater, NJ

Past

January 12, 2017 - May 26, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Bridgewater, NJ

Past

August 7, 2015 - December 27, 2016

PACKERLAND BROKERAGE SERVICES, INC.

RIA

CRD#: 37031

Bloomsbury, NJ

Past

August 7, 2015 - December 27, 2016

PACKERLAND BROKERAGE SERVICES, INC.

CRD#: 37031

Bloomsbury, NJ

Past

March 7, 2014 - August 10, 2015

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

BRIDGEWATER, NJ

Past

March 7, 2014 - August 10, 2015

ONEAMERICA SECURITIES, INC.

CRD#: 4173

BRIDGEWATER, NJ

Past

November 30, 2012 - March 10, 2014

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

BLOOMSBURY, NJ

Past

November 30, 2012 - March 10, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

BLOOMSBURY, NJ

Past

April 15, 2004 - November 27, 2012

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

BLOOMSBURY, NJ

Past

December 12, 2003 - November 27, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

BLOOMSBURY, NJ

Past

October 23, 2002 - December 31, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 30, 2002 - October 24, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBRIDGE, NJ

Past

March 9, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 9, 1999 - October 24, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta 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).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

District of Columbia
(5/9/2025)

Florida
(11/15/2024)

IAR

Florida
(11/18/2024)

Illinois
(6/30/2025)

Maine
(5/9/2025)

New Jersey
(11/14/2024)

IAR

New Jersey
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1999

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: 3/8/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Dennis J. Wakely

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Joseph Wakely's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dennis Joseph Wakely's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

AE WEALTH MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PACKERLAND BROKERAGE SERVICES, INC.

PACKERLAND BROKERAGE SERVICES, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/1999

Series 63

Date: 5/15/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/8/1999

Series 24

Date: 10/4/2000

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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