DM
Dennis P. Maguire
CETERA INVESTMENT ADVISERS LLC
WAYNE, PA 19087
Some features on this profile are disabled
CRD#: 4674638
DM
Professional summary
Dennis Patrick Maguire JR, who also goes by Dennis Patrick Maguire Jr., Dennis Patrick Maguire, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wayne, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Wayne, Pennsylvania.
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 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Patrick Maguire Jr. | Dennis Patrick Maguire
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. FIXED INSURANCE, - LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. MID-ATLANTIC WEALTH ADVISORY, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES AND INVESTMENT ADVISORY, START 12/05/2012, 50HRS/WK (32.5 TRADING HOURS), PRINCIPAL; 3. NAME OF OTHER BUSINESS: KKH CAPITAL INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: S CORP FOR TAX PURPOSES; START DATE: 01/2020; POSITION/TITLE/RELATIONSHIP: PRESIDENT / CEO; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: S CORP FOR TAX PURPOSES; 4. NAME OF OTHER BUSINESS: THE HILL SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 860 BEECH ST POTTSTOWN, PA 19464; NATURE OF BUSINESS: BOARD/PRIVATE SCHOOL; START DATE: 04/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1 1/2; APX NUMBER OF HOURS DURING TRADING HOURS: 1 1/2; BRIEF DESCRIPTION OF DUTIES: ASSIST SCHOOL IM MAKING STRATEGIC DECISIONS ON OPERATIONS AND ENROLLMENT;
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Patrick Maguire JR'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 487 Devon Park Drive Suite 202, Wayne, PA 19087RIA
CRD#: 105644
WAYNE, PA
Current
June 11, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 487 Devon Park Drive Suite 202, Wayne, PA 19087BD
CRD#: 13572
Wayne, PA
Past
June 11, 2009 - July 15, 2011
SAGEVIEW ADVISORY GROUP, LLC
RIA
CRD#: 126777
CONSHOHOCKEN, PA
Past
June 12, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
STATE COLLEGE, PA
Past
July 15, 2005 - June 9, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MARLTON, NJ
Past
June 17, 2005 - June 9, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MARLTON, NJ
Past
October 28, 2003 - June 17, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
W. CONSHOHOCKEN, PA
Past
October 21, 2003 - June 17, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 21, 2003 - June 17, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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(1/16/2009)
RR
Delaware(12/4/2008)
RR
Florida(2/13/2009)
RR
Georgia(1/22/2021)
RR
Hawaii(6/2/2025)
RR
Indiana(1/4/2021)
RR
Maryland(5/18/2009)
RR
Massachusetts(6/28/2021)
RR
Nevada(3/27/2025)
RR
New Jersey(6/11/2008)
RR
New York(1/16/2009)
RR
North Carolina(2/17/2014)
RR
Pennsylvania(6/11/2008)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(12/17/2020)
RR
Virginia(1/16/2009)
RR
Washington(4/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
