DW
Dennis W. Wells
CORPORATE FINANCE SECURITIES
Lexington, KY 40502
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CRD#: 7280532
DW
Professional summary
Dennis Wayne Wells is a registered financial professional currently at CORPORATE FINANCE SECURITIES, INC. located in Lexington, Kentucky.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 2020. Dennis has worked at 1 firm and has passed the Series 63, Series 79TO and SIE 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.
CRS (Client Relationship Summary) - BD
Click below to view Dennis Wayne Wells'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®
NoneExperience
Current
November 19, 2020 - Present
CORPORATE FINANCE SECURITIES, INC.
Office #1: 1999 Richmond Road Suite 500, Lexington, KY 40502BD
CRD#: 143453
Lexington, KY
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
Florida(6/19/2025)
RR
Kentucky(12/23/2020)
RR
Michigan(6/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 11/19/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CORPORATE FINANCE SECURITIES, INC.
CORPORATE FINANCE SECURITIES, INC.
CRD#: 143453 / SEC#: , 8-67566
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
120 Vantis Drive Suite 300, Aliso Viejo, CA 92656
Mailing Address
120 Vantis Drive Suite 300, Aliso Viejo, CA 92656
Phone number
(949) 305-6710
Established
Delaware since 10/03/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACADEMY ASSOCIATES LLC | SHAREHOLDER | |
| CENTAURUS PARTNERS, LLC | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES MINNESOTA, INC. | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES NEW ENGLAND, LLC | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES, INC. A TEXAS CORPORATION | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES, LLC | SHAREHOLDER | |
| HEYDENRYCH FAMILY TRUST | SHAREHOLDER | |
| POWELL, PATRICK SCOTT | SHAREHOLDER | 5778669 |
| AARKENSTONE QUEST, LLC | SHAREHOLDER | |
| HEYDENRYCH, HELENA JOANNA | PRINCIPAL OPERATIONS OFFICER, TRUSTEE | 5305105 |
| HEYDENRYCH, PETER MICHAEL | PRINCIPAL OPERATIONS OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, TRUSTEE | 5304971 |
| SINYARD, DAVID BLAIR | CCO, AMLCO | 5122340 |
| ST. GERMAIN, ROBERT PAUL | CEO, CHAIRMAN | 5384187 |
Red Flags
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Company Information
CORPORATE FINANCE SECURITIES, INC.
CRD#: 143453Lexington, KY 40502TRUST BUT VERIFY
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