DK
Dennis M. King
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CRD#: 707144
DK
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 Michael King, CFP® was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1980. Dennis had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 15, Series 7, Series 1 and Series 24 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.
***SECURITIES AMERICA ADVISORS INVESTMENT ADVISORY - IAR - INVESTMENT RELATED - START DATE: 2/2000 - LOCATED AT 12325 PORT GRACE BLVD, LA VISTA, NE 68128 ***INSURANCE SALES AGENT - INVESTMENT RELATED - START DATE: 8/1997 - LOCATED AT 12325 PORT GRACE BLVD, LA VISTA, NE 68128 ***ARBOR POINT ADVISORS - APA - IAR - INVESTMENT ADVISOR REPRESENTATIVE ***MIDWESTERN BAPTIST CHURCH POSITION: Member of Board of Deacons NATURE: DENNIS KING, DEACON ON BOARD OF DIRECTORS/VOLUNTEER, MIDWESTERN BAPTIST CHURCH, 3/1/06 TO PRESENT, OMAHA NE. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2000 ADDRESS: 1025 N 72nd St, Omaha NE 68114 DESCRIPTION: Serve on Board of Deacons. Volunteer position.
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®
Experience
Past
March 24, 2015 - May 16, 2024
ARBOR POINT ADVISORS
RIA
CRD#: 165127
LA VISTA, NE
Past
December 1, 2010 - May 21, 2012
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
LA VISTA, NE
Past
April 6, 2005 - May 16, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
April 5, 2005 - May 16, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
July 13, 2000 - March 31, 2005
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
OMAHA, NE
Past
February 14, 2000 - March 31, 2005
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
January 29, 1996 - February 15, 2000
TCADVISORS NETWORK INC.
BD
CRD#: 35794
CENTENNIAL, CO
Past
November 23, 1987 - December 31, 1995
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
September 22, 1986 - December 3, 1987
BLUNT ELLIS & LOEWI INCORPORATED
BD
CRD#: 7580
Past
January 9, 1985 - March 24, 1987
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
Past
February 10, 1981 - January 22, 1985
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
April 22, 1980 - April 23, 1981
WADDELL & REED
BD
CRD#: 866
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
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 1/17/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/10/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
AP
ARBOR POINT ADVISORS
2020 WEALTH MANAGEMENT GROUP | WOOLFREY FINANCIAL CONSULTING | WISE RETIREMENT STRATEGIES 100 | WEALTHMINT | WARNKE FINANCIAL SERVICES | WALL FINANCIAL | VIAQUEST FINANCIAL GROUP | TRUE ALTITUDE WEALTH MANAGEMENT | TRIDEA ADVISORS | THE O`HAGAN GROUP | THE HART GROUP | TETRALOGY FINANCIAL PLANNING GROUP | SYNTEGRA PRIVATE WEALTH GROUP | SYKTICH FINANCIAL, LLC | SUMNER FINANCIAL | STRICKLER AND MOORMEIER | STORM FISCHER INVESTMENT GROUP | SLADKO ASSET MANAGEMENT | SECURE FINANCIAL CORP | SCOUT ASSET MANAGEMENT | SCHROEDER WEALTH ADVISORS | SABRE FINANCIAL SERVICES | RIVER ROCK WEALTH ADVISORY | RED CEDAR WEALTH ADVISORS | RED CEDAR WEALTH | RD FINANCIAL | QUANTUM PARTNERS, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PREMIER WEALTH MANAGEMENT GROUP | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PADDEN FINANCIAL SERVICES | ONMARK ASSET MANAGEMENT | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NIEMI FINANCIAL SERVICES | MICHIGAN 4N/A1K COUNSULTANTS | MFR | MAYBURY FINANCIAL | MA FINANCIAL PLANNING | LION FINANCIAL ADVISORS | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LARSON FINANCIAL SERVICES | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL/LEGAL | KOLEY FINANCIAL / LEGAL | KOLEY FINANCIAL | KOENIG FINANCIAL GROUP | KIRKLAND FINANCIAL ADVISERS | KIMBLER FINANCIAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | JMS FINANCIAL SOLUTIONS LLC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERITAGE PRIVATE WEALTH MANAGEMENT | HARBOR FINANCIAL ADVISORS | GUGGER ASSET MANAGEMENT | GOTTIER INVESTMENTS | GOLDSTEIN ADVISORS | GOLDSTEIN & ASSOCIATES | GLEASON FINANCIAL GROUP | GEORGE W. HOOK III FINANCIAL SERVICES | GAULDEN WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | GALBRAITH FINANCIAL SERVICES | FULL CIRCLE WEALTH MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FINANCIAL SOLUTIONS | FARRELL FINANCIAL | ETON FINANCIAL SERVICES | EMERALD CITY FIDUCIARY GROUP | ECHELON GROUP | DWIGHT O'HARA INVESTMENT SERVICES | DOSS ASSET ADVISORS | DIAMONDBACK FINANCIAL SERVICES, LLC | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | CVACH FINANCIAL SERVICES | CTM FINANCIAL GROUP, LLC | CTM FINANCIAL GROUP | CREATIVE FINANCIAL PARTNERS | CORINTHIAN WEALTH MANAGEMENT | COPIA WEALTH MANAGEMENT | COMMONWEALTH FINANCIAL SERVICES | COLLIER SUSTAINABLE WEALTH MANAGEMENT | CITY FIDUCIARY GROUP | CAPITAL INCOME ADVISORS | CAPITAL & BUSINESS PLANNING | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BLAKE GALLION, CFP | BELLEAIR FINANCIAL SERVICES | BASECAMP INVESTMENTS | BAIKIE AND ALCANTARA | ARNOLD FINANCIAL SERVICES | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARBOR POINT ADVISORS, LLC | ARBOR POINT ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AILERON WEALTH MANAGEMENT | AFG FINANCIAL | AEON WEALTH MANAGEMENT | AB WEALTH MANAGEMENT | A. GAINES FINANCIAL
CRD#: 165127 / SEC#: 801-77135
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Contact information
Main Address
12325 Port Grace Blvd., Lavista, NE 68128
Mailing Address
Phone number
(888) 777-1992
Established
Firm type
Fiscal year end
# of Employees
2,643
Regulatory assets under management
| Total Number of Accounts | 28,010 |
| AUM (Assets Under Management) | $ 6,929,575,682 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
