Dennis W. Black
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 Walter Black, who also goes by Dennis W Black, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1999. Dennis had worked at 5 firms and has passed the Series 65, Series 66 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
September 26, 2024 - October 22, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 30, 2023 - July 16, 2024
CX INSTITUTIONAL, LLC
August 18, 2011 - June 19, 2012
BOK FINANCIAL SECURITIES, INC.
August 18, 2011 - June 19, 2012
BOK FINANCIAL SECURITIES, INC.
October 23, 2009 - April 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 2, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 21, 1999 - October 14, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 1999 - October 14, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
