Dennis L. Hadden

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CRD#: 4563878

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 Lee Hadden was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2002. Dennis had worked at 4 firms and has passed the Series 66, SIE and Series 7 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.

1) ADVISORY SERVICE; PROFESSIONAL FINANCIAL ADVISORS, LLC; 501 SO. JEFFERS, NORTH PLATTE, NE; MANAGING PARTNER; COMMENCE 2003 REFER AND MANAGE ADVISORY SERVICE FOR ANNUITIES, FOUNDATIONS; 2% OF DAILY HOURS; SECURITY RELATED; NO TRADING HOURS.

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

May 19, 2015 - July 25, 2023

PROFESSIONAL FINANCIAL ADVISORS, LLC

RIA

CRD#: 173719

NORTH PLATTE, NE

Past

April 14, 2011 - November 30, 2015

OSAIC SERVICES, INC.

RIA

CRD#: 133763

NORTH PLATTE, NE

Past

October 31, 2005 - December 31, 2018

OSAIC SERVICES, INC.

CRD#: 133763

NORTH PLATTE, NE

Past

July 23, 2003 - October 1, 2010

PROFESSIONAL FINANCIAL ADVISORS, LLC

RIA

CRD#: 124602

SCOTTSBLUFF, NE

Past

September 17, 2002 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

PROFESSIONAL FINANCIAL ADVISORS, LLC

PROFESSIONAL FINANCIAL ADVISORS, LLC | TOTAL PORTFOLIOS

CRD#: 173719 / SEC#: 801-114978

RIA

Registered Investment Advisory firm - (4/10/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Kansas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Missouri

Registered Investment Advisory firm - (4/22/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Wyoming

Registered Investment Advisory firm - (4/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2002

General Securities Representative Examination

Current Firm

PROFESSIONAL FINANCIAL ADVISORS, LLC

PROFESSIONAL FINANCIAL ADVISORS, LLC | TOTAL PORTFOLIOS

CRD#: 173719 / SEC#: 801-114978

RIA

Registered Investment Advisory firm - (4/10/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Kansas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Missouri

Registered Investment Advisory firm - (4/22/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Wyoming

Registered Investment Advisory firm - (4/22/2019 Terminated)

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Contact information

Main Address

1400 S Dewey St Suite 300, North Platte, NE 69101-5311

Mailing Address

Po Box 1070, North Platte, NE 69103-1070

Phone number

(308) 534-8210

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROFESSIONAL FINANCIAL ADVISORS, LLC ADV BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	2,991
AUM (Assets Under Management)	$ 614,113,385

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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Dennis L. Hadden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PROFESSIONAL FINANCIAL ADVISORS, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

PROFESSIONAL FINANCIAL ADVISORS, LLC

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

PROFESSIONAL FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2002

Current Firm

PROFESSIONAL FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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