Dennis J. Cornelius

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CRD#: 54335

Professional summary

Being a previously registered professional could mean that this person 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.

Dennis John Cornelius was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1971. Dennis had worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 1, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

July 22, 2022 - November 1, 2022

TAG WEALTH MANAGEMENT, LLC

CRD#: 1357

PHOENIX, AZ

Past

January 23, 2020 - August 20, 2020

ASHLAND SECURITIES, LLC

CRD#: 297523

MIAMI, FL

Past

September 2, 2009 - March 27, 2020

CKS SECURITIES LLC

CRD#: 149837

SCOTTSDALE, AZ

Past

September 21, 2001 - September 15, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

PHOENIX, AZ

Past

August 19, 1991 - September 24, 2001

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 2, 1983 - August 9, 1991

MASON, HUNT & CO., INC.

CRD#: 13680

Past

August 13, 1982 - August 6, 1983

UNIVERSAL HERITAGE INVESTMENTS CORPORATION

CRD#: 32

Past

June 21, 1982 - August 26, 1982

G. R. PHELPS & CO., INC.

CRD#: 173

Past

November 25, 1981 - June 29, 1982

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

September 10, 1971 - November 15, 1981

G. R. PHELPS & CO., INC.

CRD#: 173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/15/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/4/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/3/1983

General Securities Principal Examination

Current Firm

TAG WEALTH MANAGEMENT, LLC

DIAMOND BAY SECURITIES CORP. | TAG WEALTH MANAGEMENT, LLC | TAG WEALTH MANAGEMENT, INC | JOHN BURTON & CO., INC.

CRD#: 1357 / SEC#: , 8-14485

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

20815 N Cave Creek Road, Phoenix, AZ 85024

Mailing Address

20815 N Cave Creek Road, Phoenix, AZ 85024

Phone number

(623) 792-9300

Established

Arizona since 12/16/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE BILTIS FAMILY TRUST DATED JANUARY 1, 2010	PARENT COMPANY TRUST / OWNER
BILTIS, JACK CHARLES	PRESIDENT, FNOP, GSP, MUNICIPAL PRINCIPAL	5473437
MESHUGENA VENTURES, INC	PARENT COMPANY / OWNER
TAYLOR, TRACY DONALD	RC/RDP/CCO	1257628

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.

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Firm Stability Insights

Dennis J. Cornelius

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASHLAND SECURITIES, LLC

CKS SECURITIES LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

FSC SECURITIES CORPORATION

MASON, HUNT & CO., INC.

UNIVERSAL HERITAGE INVESTMENTS CORPORATION

G. R. PHELPS & CO., INC.

LINSCO FINANCIAL GROUP, INC.

G. R. PHELPS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/2011

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 9/4/1971

Series 14

Date: 1/2/2023

Series 24

Date: 1/3/1983

Current Firm

TAG WEALTH MANAGEMENT, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TAG WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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