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DD

David M. Denning

DENNING & COMPANY
SAN FRANCISCO, CA 94133
CRD#: 6082774
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DD
David Matthew DenningDENNING & COMPANY

Professional summary

David Matthew Denning is a registered financial professional currently at DENNING & COMPANY LLC located in San Francisco, California.

David is registered as a RR (Registered Representative) and started their career in finance in 2012. David has worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view David Matthew Denning's CRS (Customer Relationship Summary).

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

Current

August 3, 2012 - Present

DENNING & COMPANY LLC

Office #1: 999 Green Street, #2802, San Francisco, CA 94133
BD
CRD#: 115971
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/19/2012)
RR
Utah
(10/14/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/11/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

D&
DENNING & COMPANY LLC
DENNING & COMPANY LLC

CRD#: 115971 / SEC#: , 8-53532

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
999 Green Street, #2802, San Francisco, CA 94133
Mailing Address
999 Green Street, #2802, San Francisco, CA 94133
Phone number
(415) 399-3939
Established
California since 06/13/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
DENNING, PAUL FRANKLINMEMBER/MANAGER/CEO/CHIEF COMPLIANCE OFFICER65469
COLLINS, ELIZABETH SARAHCFO/FINOP4714831

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.

Company Information

DENNING & COMPANY LLC

CRD#: 115971San Francisco, CA 94133

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