Dennis J. Duarte

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CRD#: 4202227

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 Jay Duarte was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2002. Dennis had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 26 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.

The advisor shows no other business activity.

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

June 15, 2022 - April 10, 2025

HAND SECURITIES, INC

CRD#: 45198

HOUSTON, TX

Past

January 4, 2021 - March 1, 2022

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

March 25, 2019 - January 4, 2021

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

May 25, 2016 - October 30, 2018

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

August 22, 2011 - May 10, 2016

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

WASHINGTON, DC

Past

February 4, 2010 - May 10, 2016

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

SAN JOSE, CA

Past

January 1, 2009 - August 19, 2009

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

WALNUT CREEK, CA

Past

February 9, 2005 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

WALNUT CREEK, CA

Past

May 25, 2004 - October 18, 2004

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

July 8, 2002 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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

State Security Law Exam

IAR

Series 65

Date: 3/17/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/9/2011

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HAND SECURITIES, INC

AMERICAN INDUSTRIES RETIREMENT SECURITIES CORPORATION | RETIREMENT SECURITIES, INC. | HAND SECURITIES, INC

CRD#: 45198 / SEC#: , 8-51001

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

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Contact information

Main Address

820 Gessner Ste 1250, Houston, TX 77024

Mailing Address

820 Gessner Ste 1250, Houston, TX 77024

Phone number

(713) 460-1000

Established

Texas since 02/02/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HAND BENEFITS AND TRUST CO	OWNER
HAND, STEPHEN SAWYER	CHIEF COMPLIANCE OFFICER	1950983
HAND, STEPHEN SAWYER	PRESIDENT	1950983
HAND, STEPHEN SAWYER	FINOP	1950983
ZIMMERMAN, GREGG KEITHLEY	VICE PRESIDENT	4840878

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 J. Duarte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

MML DISTRIBUTORS, LLC

EMPOWER FINANCIAL SERVICES, INC.

MISSIONSQUARE RETIREMENT

MISSIONSQUARE INVESTMENT SERVICES

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

STATE FARM VP MANAGEMENT CORP.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/2011

Series 63

Date: 7/25/2002

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/3/2002

Series 26

Date: 12/9/2011

Current Firm

HAND SECURITIES, INC

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HAND SECURITIES, INC

TRUST BUT VERIFY

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