Dennis B. Noss
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 and NI ADVISORS located in Milpitas, California.
Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Dennis has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 55 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Brian Noss's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2019 - Present
CAYMAN CAPITAL MANAGEMENT, INC.
Office #1: 80 Belvedere St Ste 3, San Rafael, CA 94901January 5, 2026 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035Office #2: 1138 Cadillac Court, Milpitas, CA 95035-3058September 23, 2016 - March 30, 2017
PORTSMOUTH FINANCIAL SERVICES
September 1, 2016 - March 30, 2017
PORTSMOUTH FINANCIAL SERVICES
May 4, 2015 - February 20, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 17, 2015 - February 20, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 15, 2013 - January 24, 2014
EQUITABLE ADVISORS, LLC
June 20, 2013 - January 24, 2014
EQUITABLE ADVISORS, LLC
February 23, 2012 - October 31, 2012
GREAT POINT CAPITAL LLC
November 27, 2006 - November 18, 2008
TAFFERER TRADING, LLC
April 22, 2004 - July 19, 2004
INTEGRITY TRADING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/11/2019)
Exams
Series 55
Date: 2/8/2007
Limited Representative-Equity Trader ExamCurrent Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
NI ADVISORS
CRD#: 134502San Rafael, CA 94901TRUST BUT VERIFY
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