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Dennis Marlow

Some features on this profile are disabled
CRD#: 600767
DM

Professional summary

Dennis Marlow was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dennis is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Dennis had worked at 4 firms, which includes INTERVEST INTERNATIONAL EQUITIES CORPORATION, LEGACY ADVISORY SERVICES INC., LEGACY FINANCIAL SERVICES INC., TEXAS CAPITAL SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis L Herman | Dennis Leslie Herman

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

August 9, 2004 - March 21, 2005

INTERVEST INTERNATIONAL EQUITIES CORPORATION

BD
CRD#: 20289
COLORADO SPRINGS, CO
Past

August 18, 1999 - July 27, 2004

LEGACY ADVISORY SERVICES, INC.

RIA
CRD#: 111027
MONUMENT, CO
Past

February 6, 1998 - July 26, 2004

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

January 24, 1996 - April 4, 1997

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
Past

August 3, 1995 - February 21, 1996

TEXAS CAPITAL SECURITIES, INC.

BD
CRD#: 25564
HOUSTON, TX

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
IAR
Series 65
Date: 6/1/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/12/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/11/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

II
INTERVEST INTERNATIONAL EQUITIES CORPORATION
INTERVEST INTERNATIONAL EQUITIES CORP. | KICKAPOO SECURITIES CORP. | INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289 / SEC#: , 8-38156

BD
Terminated by SEC on 02/14/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 03/24/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INTERVEST INTERNATIONAL, INC.PARENT CORP

Disclosures

Regulatory Event1
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289

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