Dennis M. Burns

LPL ENTERPRISE

West Des Moines, IA 50266

Some features on this profile are disabled

CRD#: 4609520

Professional summary

Dennis M Burns is a registered financial advisor currently at LPL ENTERPRISE, LLC located in West Des Moines, Iowa.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Dennis has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

GENERIC HEALTH TRAILS OBA POSITION: generic health trails OBA NATURE: health insurance commission trails INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 10310 Providence Dr., #303, Johnston IA 50131, United States DESCRIPTION: generic health trails OBA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis M Burns's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dennis M Burns's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 5550 Wild Rose Lane Ste 400, Office # 4074, West Des Moines, IA 50266Office #2: 720 S. 68th St Suite 9, West Des Moines, IA 50266

RIA

CRD#: 8733

West Des Moines, IA

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 5550 Wild Rose Lane Ste 400, Office # 4074, West Des Moines, IA 50266Office #2: 720 S. 68th St Suite 9, West Des Moines, IA 50266

RIA

CRD#: 8733

West Des Moines, IA

Past

December 20, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

West Des Moines, IA

Past

December 20, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

West Des Moines, IA

Past

August 26, 2013 - December 16, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WEST DES MOINES, IA

Past

August 23, 2013 - December 16, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

WEST DES MOINES, IA

Past

October 24, 2011 - February 15, 2013

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

WEST DES MOINES, IA

Past

October 20, 2011 - February 15, 2013

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

WEST DES MOINES, IA

Past

February 12, 2008 - October 7, 2011

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

WEST DES MOINES, IA

Past

June 28, 2007 - October 7, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

WEST DES MOINES, IA

Past

February 3, 2003 - February 8, 2007

WADDELL & REED

RIA

CRD#: 866

W. DES MOINES, IA

Past

December 11, 2002 - February 8, 2007

WADDELL & REED

CRD#: 866

W. DES MOINES, IA

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

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

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Indiana
(1/17/2025)

Iowa
(11/14/2024)

IAR

Iowa
(11/14/2024)

Minnesota
(11/14/2024)

Nebraska
(7/14/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/6/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/28/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/10/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

Similar Advisors

Rajpreet Sangha

PRINCIPAL SECURITIES, INC.

IAR

Tracy, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dennis M. Burns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis M Burns's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dennis M Burns's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/6/2003

Series 65

Date: 1/28/2003

SIE

Date: 10/1/2018

Series 6

Date: 12/10/2002

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Similar Advisors