DK
Dennis C. Ku
SB ADVISORY
Lewis Center, OH
Some features on this profile are disabled
CRD#: 4617869
DK
Professional summary
Dennis Chung Kuo Ku, who also goes by Dennis Chung-kuo Ku, is a registered financial advisor currently at SB ADVISORY, LLC located in Lewis Center, Ohio and SAN BLAS SECURITIES LLC located in Chicago, Illinois.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Dennis has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Chung-Kuo Ku
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) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: Dennis Ku | POSITION HELD: Owner | ADDRESS: 3035 Atoll Dr, Lewis Center, OH, 43035 | START DATE: 11/5/21 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: 24 HRS | APPROX TRADING HRS PER MTH: 8 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Chung Kuo Ku's 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®
NoneExperience
Current
December 20, 2021 - Present
SB ADVISORY, LLC
RIA
CRD#: 154680
Lewis Center, OH
Current
November 10, 2021 - Present
SAN BLAS SECURITIES LLC
Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606BD
CRD#: 290605
CHICAGO, IL
Past
March 1, 2019 - October 12, 2021
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
COLUMBUS, OH
Past
January 18, 2019 - October 12, 2021
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
COLUMBUS, OH
Past
November 2, 2018 - January 31, 2019
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
COLUMBUS, OH
Past
May 26, 2016 - January 31, 2019
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
COLUMBUS, OH
Past
June 9, 2010 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
COLUMBUS, OH
Past
July 13, 2007 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
COLUMBUS, OH
Past
January 27, 2006 - May 10, 2007
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LANCASTER, OH
Past
January 2, 2003 - July 7, 2004
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
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".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)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.RR
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
RR
California(11/15/2021)
RR
Delaware(4/26/2025)
RR
Florida(1/14/2022)
RR
Georgia(4/15/2025)
RR
Kentucky(4/14/2025)
RR
Michigan(11/10/2021)
RR
Missouri(2/7/2025)
RR
New Jersey(1/15/2025)
RR
North Carolina(7/25/2023)
RR
Ohio(12/20/2021)
IAR
Ohio(12/20/2021)
RR
Pennsylvania(1/16/2025)
RR
Virginia(1/20/2022)
RR
West Virginia(1/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
