DL
Denise A. Lant
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CRD#: 4358281
DL
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.
Denise A Lant, CFP®, who also goes by Anderson, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2001. Denise had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Small Business Planning
Insurance Planning
Investment Planning
Comprehensive Financial Planni...
Social Security Planning
Retirement Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
No
Aliases
Anderson
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. 4/9/2001 - PELANGI RESOURCES, INC. - OTHER-CONSULTING - PELANGI RESOURCES, INC. - OIL & GAS CONSULTING. - TIME SPENT 5%. - Non INV Related
2. 09/17/2002 - REGENT FINANCIAL SERVICES INC. - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business)
3. 6/28/2004 - NON-VARIABLE INSURANCE - FIXED INSURANCE - TULSA, OK.
4. 4/27/2017 - Drawbridge Capital - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 04/01/2017 - 160 Hours Per Month During Securities Trading - Time Spent 100% - I provide investment advisory services through Drawbridge Capital, an independent investment advisor firm. I started this business activity in 4/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
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®
CFP®
Start date: 2003
Experience
Past
February 2, 2016 - October 8, 2024
DRAWBRIDGE CAPITAL
RIA
CRD#: 128636
TULSA, OK
Past
April 28, 2004 - December 31, 2011
DRAWBRIDGE CAPITAL
RIA
CRD#: 128636
TULSA, OK
Past
October 9, 2002 - January 19, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
TULSA, OK
Past
March 16, 2001 - October 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
TULSA, OK
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".
DC
DRAWBRIDGE CAPITAL
DRAWBRIDGE ASSET MANAGEMENT | REGENT FINANCIAL SERVICES, INC. | REGENT FINANCIAL SERVICES | DRAWBRIDGE CAPITAL, LLC | DRAWBRIDGE CAPITAL
CRD#: 128636 / SEC#: 801-115050
RIA
Registered Investment Advisory firm - (4/22/2019 Approved)Arkansas
Registered Investment Advisory firm - (5/24/2019 Terminated)California
Registered Investment Advisory firm - (6/24/2019 Terminated)Connecticut
Registered Investment Advisory firm - (5/28/2019 Terminated)Florida
Registered Investment Advisory firm - (5/24/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (4/24/2019 Terminated)Texas
Registered Investment Advisory firm - (5/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/28/2019 Terminated)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DC
DRAWBRIDGE CAPITAL
DRAWBRIDGE ASSET MANAGEMENT | REGENT FINANCIAL SERVICES, INC. | REGENT FINANCIAL SERVICES | DRAWBRIDGE CAPITAL, LLC | DRAWBRIDGE CAPITAL
CRD#: 128636 / SEC#: 801-115050
RIA
Registered Investment Advisory firm - (4/22/2019 Approved)Arkansas
Registered Investment Advisory firm - (5/24/2019 Terminated)California
Registered Investment Advisory firm - (6/24/2019 Terminated)Connecticut
Registered Investment Advisory firm - (5/28/2019 Terminated)Florida
Registered Investment Advisory firm - (5/24/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (4/24/2019 Terminated)Texas
Registered Investment Advisory firm - (5/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/28/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7134 S.yale Ave Ste 700, Tulsa, OK 74136
Mailing Address
Phone number
(918) 493-4190
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 951 |
| AUM (Assets Under Management) | $ 189,926,889 |
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.
