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Dennis B. Noss

CAYMAN CAPITAL MANAGEMENT
San Rafael, CA 94901
Some features on this profile are disabled
CRD#: 4792025
DN

Professional summary

Dennis Brian Noss, who also goes by Dennis B Noss, Denny Noss, is a registered financial advisor currently at CAYMAN CAPITAL MANAGEMENT, INC. located in San Rafael, California.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Dennis has worked at 7 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 55 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dennis B Noss | Denny Noss

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.
As an employee of Cayman Capital Management, Mr. Noss is licensed as and insurance agents and practices as an Enrolled Agent. Neither are investment related, both are conducted at the same location, and hours vary greatly based on client need.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Brian Noss'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®
None

Experience

Current

January 11, 2019 - Present

CAYMAN CAPITAL MANAGEMENT, INC.

Office #1: 80 Belvedere St Ste 3, San Rafael, CA 94901
RIA
CRD#: 299894
San Rafael, CA
Past

September 23, 2016 - March 30, 2017

PORTSMOUTH FINANCIAL SERVICES

RIA
CRD#: 13980
San Rafael, CA
Past

September 1, 2016 - March 30, 2017

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
SAN FRANCISCO, CA
Past

May 4, 2015 - February 20, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ALVISO, CA
Past

April 17, 2015 - February 20, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
ALVISO, CA
Past

August 15, 2013 - January 24, 2014

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
SAN MATEO, CA
Past

June 20, 2013 - January 24, 2014

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SAN MATEO, CA
Past

February 23, 2012 - October 31, 2012

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

November 27, 2006 - November 18, 2008

TAFFERER TRADING, LLC

BD
CRD#: 36816
SAN FRANCISCO, CA
Past

April 22, 2004 - July 19, 2004

INTEGRITY TRADING, INC.

BD
CRD#: 104236
NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR
California
(1/11/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/2/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/16/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/24/2003
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 2/8/2007
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 30
Date: 9/17/2008
NFA Branch Manager Examination

Current Firm

CC
CAYMAN CAPITAL MANAGEMENT, INC.
CAYMAN CAPITAL MANAGEMENT, INC. | RETIRE BETTER STRATEGIES

CRD#: 299894 / SEC#:

California
Registered Investment Advisory firm - (1/11/2019 Approved)
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Contact information

Main Address
80 Belvedere St Ste 3, San Rafael, CA 94901
Mailing Address
3561 Homestead Rd. Ste. 503, Santa Clara, CA 95051
Phone number
(650) 477-4370
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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.

Company Information

CAYMAN CAPITAL MANAGEMENT, INC.

CRD#: 299894San Rafael, CA 94901

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