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Dennis Raymond Wentzler

BA SECURITIES
W. CONSHOHOCKEN, PA
·CRD# 4221461·26 years experience

Professional Summary

Dennis Raymond Wentzler is a registered financial advisor currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania. Dennis is registered as a RR (Registered Representative) and started their career in finance in 2000. Dennis has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

BA SECURITIES, LLC·CRD# 153489
BD
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
September 9, 2022 - Present
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
Jersey City, NJ
August 25, 2003 - July 29, 2016
SANFORD C. BERNSTEIN & CO., LLC·CRD# 104474
BD
Nashville, TN
December 7, 2000 - September 5, 2003
SANFORD C. BERNSTEIN & CO., INC.·CRD# 1232
BD
New York, NY
August 9, 2000 - December 7, 2000

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Current Firm

BS
BA SECURITIES, LLC

BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: 8-68545
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Mailing Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Phone Number

(877) 738-5841

Established

Pennsylvania since 01/25/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BA HOLDCO, LLCOWNER—
BOLDEN, MICHAEL LABRADORCHIEF COMPLIANCE OFFICER6411755
CHUFF, JOHN JOSEPHPRINCIPAL1205736
HATLING, PEDER ALANPRINCIPAL5240595
JUILIANO, COLLEEN JANEFINOP4818898
KELLER-YOUNG, SUZANNEOPERATIONS MANAGER5495492
PICKENS, DANIEL NEHILPRINCIPAL1042225
WENTZLER, DENNIS RAYMONDPRESIDENT & AML OFFICER4221461

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Pennsylvania
(9/9/2022)
RR
Tennessee
(1/7/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2022About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2026About the Series 99TO exam

Series 7TO — General Securities Representative Examination

Passed Sep 2022About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Aug 2022About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2023About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Dennis Raymond Wentzler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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