Dennis Fogarty
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 Fogarty, who also goes by Dennis Michael Fogarty, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2011. Dennis had worked at 4 firms and has passed the Series 66, 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
July 17, 2015 - March 16, 2016
ADVANTAGE INVESTMENT MANAGEMENT, LLC
June 9, 2015 - March 31, 2016
LPL FINANCIAL LLC
May 28, 2013 - May 22, 2015
SECURIAN FINANCIAL SERVICES, INC.
May 22, 2013 - May 22, 2015
SECURIAN FINANCIAL SERVICES, INC.
January 10, 2012 - May 13, 2013
EQUITABLE ADVISORS, LLC
October 26, 2011 - May 13, 2013
EQUITABLE ADVISORS, LLC
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
ADVANTAGE INVESTMENT MANAGEMENT, LLC
CRD#: 146236 / SEC#: 801-69551
Contact information
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.
