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Dennis Alton Burks

CRD# 706270·Registered 1980 - 2000
Previously Registered: Being a previously registered professional could mean that Dennis 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.

Professional Summary

Dennis Alton Burks was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 1980 - 2000. Dennis had worked at 16 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

46 years in the financial services industry

Current & Past Employments

EDI FINANCIAL, INC.·CRD# 15699
BD
Irving, TX
May 22, 1998 - October 9, 2000
FSC SECURITIES CORPORATION·CRD# 7461
BD
Atlanta, GA
March 18, 1998 - April 28, 1998
CRISPIN KOEHLER SECURITIES·CRD# 10596
BD
Tampa, FL
April 29, 1997 - March 18, 1998
SHAMROCK PARTNERS, LTD·CRD# 23955
BD
Media, PA
August 19, 1991 - April 21, 1997
SHAMROCK PARTNERS, LTD·CRD# 23955
BD
Media, PA
April 30, 1990 - November 9, 1990
KOCHCAPITAL·CRD# 21038
BD
June 6, 1989 - September 18, 1989
FLEMMING, ANDERSON, COHEN & LEE, INC.·CRD# 23121
BD
Littleton, CO
April 18, 1989 - July 10, 1989
J. B. STERLING CORP. (INVESTMENT SECURITIES)·CRD# 8205
BD
February 22, 1989 - June 23, 1989
KOBER FINANCIAL CORP.·CRD# 17551
BD
Englewood, CO
September 11, 1986 - January 29, 1990
HICKEY, KOBER, INCORPORATED·CRD# 10290
BD
July 15, 1985 - July 23, 1987
WILLIAM BARTON FINANCIAL, INC.·CRD# 13893
BD
May 4, 1984 - August 13, 1984
FITZGERALD, TALMAN, INC.·CRD# 13699
BD
January 23, 1984 - May 29, 1984
BUCKINGHAM SECURITIES, LTD.·CRD# 10570
BD
June 24, 1983 - February 2, 1984
PAULSON INVESTMENT COMPANY LLC·CRD# 5670
BD
November 17, 1982 - May 23, 1983
WALL STREET WEST, INC.·CRD# 7529
BD
September 2, 1982 - September 13, 1982
MORGAN STANLEY DW INC.·CRD# 7556
BD
February 11, 1982 - August 5, 1982
WALL STREET WEST, INC.·CRD# 7529
BD
June 6, 1980 - January 19, 1982
AMERICAN WESTERN SECURITIES, INC.·CRD# 7619
BD
March 21, 1980 - July 2, 1980

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Current Firm

EF
EDI FINANCIAL, INC.

EDI FINANCIAL, INC. | R.R. ORR & ASSOCIATES INC. | HIBLER & ORR INC.

CRD#: 15699 / SEC#: 8-32566
BD
Terminated by SEC on 02/03/2017

Contact Information

Established

Texas since 11/05/1984

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
PRINZ, MARTIN WILLIAMPRESIDENT, DIRECTOR, CSO, CCO1330601
DAILY, JAY PATRICKSHAREHOLDER1471899
JOHN, VARKEYFINOP4530162

Disclosures

Regulatory Event

11

Arbitration

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1982About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1980About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Mar 1989About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jun 1988About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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