Corinne Marie Dennis
Professional Summary
Corinne Marie Dennis, who also goes by Corinne Marie Dennis, Corinne Dennis, Corinne Marie Marsh, is a registered financial advisor currently at SAGE, RUTTY & CO., INC. located in Rochester, New York. Corinne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Corinne has worked at 2 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, SIE, Series 6, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Corinne Marie Dennis, Corinne Dennis, Corinne Marie Marsh
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
Contact Information
Main Address
100 Corporate Woods Suite 300, Rochester, NY 14623Mailing Address
100 Corporate Woods Suite 300, Rochester, NY 14623Phone Number
(585) 232-3760Established
New York since 02/11/1937Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
36SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | — |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | — |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory Assets Under Management
Total Number of Accounts
8,163AUM (Assets Under Management)
$3,457,800,076Disclosures
Regulatory Event
6Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 01/02/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
State Registrations and Notice Filings
(3/10/2021)
(1/3/2024)
(10/22/2020)
(3/25/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Feb 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2015About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 2015About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Corinne Marie Dennis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Corinne Marie Dennis's CRS (Customer Relationship Summary).
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