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Dennis Li Eap

CRD# 4677002·Registered 2003 - 2013
Previously Registered: Being a previously registered professional could mean that Dennis 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.

Professional Summary

Dennis Li Eap, who also goes by Dennis Sambo Eap, was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 2003 - 2013. Dennis had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dennis Sambo Eap

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

USAA FINANCIAL PLANNING SERVICES·CRD# 106352
RIA
Los Angeles, CA
May 19, 2011 - February 7, 2013
USAA FINANCIAL ADVISORS, INC.·CRD# 129035
BD
Los Angeles, CA
May 19, 2011 - February 7, 2013
COMERICA SECURITIES·CRD# 17079
RIA
Los Angeles, CA
July 12, 2010 - May 9, 2011
COMERICA SECURITIES·CRD# 17079
BD
Los Angeles, CA
July 14, 2008 - May 9, 2011
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
San Francisco, CA
August 1, 2006 - June 19, 2007
ESSEX NATIONAL SECURITIES, LLC·CRD# 25454
BD
Napa, CA
April 21, 2004 - October 17, 2005
NYLIFE SECURITIES LLC·CRD# 5167
BD
New York, NY
November 10, 2003 - April 27, 2004

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Current Firm

UF
USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL PLANNING NETWORK | USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC. | USAA FINANCIAL PLANNING SERVICES | USAA FINANCIAL PLANNING NETWORK, INC. | USAA FINANCIAL PLANNING NETWORK INC

CRD#: 106352 / SEC#: 801-53347

Contact Information

Main Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/31/2017)

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2010About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2003About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 2008About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 2003About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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