Dennis Flanagan
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 Flanagan JR, who also goes by Dennis Flanagan, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2001. Dennis had worked at 4 firms and has passed the Series 66, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2007 - June 12, 2018
ALLEGIANT FINANCIAL ADVISORS, LLC
June 21, 2005 - December 9, 2011
ALLEGIANT SECURITIES L.L.C.
May 14, 2003 - July 26, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 9, 2003 - July 26, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 8, 2001 - March 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 28
Date: 9/17/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALLEGIANT FINANCIAL ADVISORS, LLC
CRD#: 141047 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 10,675,995 |
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.
