Dennis J. Oleary
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 Joseph Oleary, who also goes by Dennis Joseph O'leary, Dennis Joseph Oleary III, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2010. Dennis had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2018 - October 23, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 13, 2018 - October 23, 2018
TD AMERITRADE, INC.
February 26, 2018 - October 23, 2018
TD AMERITRADE, INC.
July 28, 2017 - March 13, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 10, 2011 - February 26, 2018
SCOTTRADE, INC.
November 23, 2010 - September 15, 2011
OPPENHEIMER & CO. INC.
April 22, 2010 - December 10, 2010
GARDEN STATE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
