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Dennis D Mahone

CRD# 5254377·Registered 2007 - 2010
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 D Mahone, who also goes by Dennis Dywayne Mahone Jr., Dennis Dywayne Mahone, was a registered financial advisor. Dennis was a previously registered financial advisor and started their career in finance 2007 - 2010. Dennis had worked at 3 firms and has passed the Series 66 and Series 7 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 Dywayne Mahone Jr., Dennis Dywayne Mahone

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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

19 years in the financial services industry

Current & Past Employments

RM ADVISORS, LLC·CRD# 134323
RIA
Elmhurst, IL
March 30, 2010 - May 12, 2010
RAINMAKER SECURITIES, LLC·CRD# 132995
BD
Coral Gables, FL
January 25, 2010 - May 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Bridgewater, NJ
December 4, 2007 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Bridgewater, NJ
October 11, 2007 - February 11, 2009

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Current Firm

RA
RM ADVISORS, LLC

RAINMAKER ADVISORS, LLC | RM ADVISORS, LLC

CRD#: 134323

Contact Information

Main Address

347 North Kenilworth Avenue, Elmhurst, IL 60126

Documents

Latest Form ADV

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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 Nov 2007About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Oct 2007About the Series 7 exam

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CRS (Client Relationship Summary)

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

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