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DD

Dennis J. Donnelly

Some features on this profile are disabled
CRD#: 707942
DD

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 Jeffry Donnelly was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1980. Dennis had worked at 4 firms and has passed the Series 7, Series 27 and Series 24 exams.

top-8-questions

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)

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

February 12, 2007 - April 25, 2007

LTC INVESTMENT SERVICES, INC.

BD
CRD#: 23750
DENVER, CO
Past

September 1, 2001 - March 17, 2005

NF CLEARING, INC.

BD
CRD#: 14285
PHILADELPHIA, PA
Past

July 11, 2000 - September 1, 2001

FISERV CORRESPONDENT SERVICES, INC.

BD
CRD#: 29273
DENVER, CO
Past

March 27, 1980 - June 27, 2000

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

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

General Industry/Product Exam
RR
Series 7
Date: 4/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/27/1994
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/1980
General Securities Principal Examination

Current Firm

LI
LTC INVESTMENT SERVICES, INC.
ASPEN INVESTMENT ALLIANCE, INC. | LTC INVESTMENT SERVICES, INC. | FISERV BROKERAGE SERVICES, INC.

CRD#: 23750 / SEC#: , 8-40705

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 07/15/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ROBERT BERIAULT HOLDINGS, INC.PARENT CORPORATION
BERIAULT, ROBERT HARVEYBOARD MEMBER, TREASURER, ASSISTANT SECRETARY
PIERCE, BOBBIE JEANGENERAL SECURITIES PRINCIPAL1011848
SMITH, KATHLEEN MARIEVICE PRESIDENT2190360
WILLIAMS, BRICE JAMESPRESIDENT, CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL, GENERAL SECURITIES PRINCIPAL2663962

Disclosures

Regulatory Event1

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

LTC INVESTMENT SERVICES, INC.

CRD#: 23750

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