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ND

Neil R. Dennis

W G SECURITIES
WEST HARTFORD, CT 06107
Some features on this profile are disabled
CRD#: 7298239
ND

Professional summary

Neil Robert Dennis is a registered financial professional currently at W G SECURITIES, LLC located in West Hartford, Connecticut and MSEC, LLC located in Overland Park, Kansas.

Neil is registered as a RR (Registered Representative) and started their career in finance in 2021. Neil has worked at 3 firms 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Robert Dennis's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 8, 2024 - Present

W G SECURITIES, LLC

Office #1: 10 N Main St Suite 214, West Hartford, CT 06107
BD
CRD#: 140869
WEST HARTFORD, CT
Current

December 19, 2025 - Present

MSEC, LLC

Office #1: 5700 W 112th Street Suite 500, Overland Park, KS 66211
BD
CRD#: 154327
Overland Park, KS
Past

March 25, 2022 - December 15, 2023

BENJAMIN F. EDWARDS & COMPANY, INC.

BD
CRD#: 146936
ST. LOUIS, MO
Past

January 18, 2021 - March 22, 2022

W G SECURITIES, LLC

BD
CRD#: 140869
WEST HARTFORD, CT

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
Connecticut
(10/21/2025)
RR
Florida
(12/19/2025)
RR
Kansas
(12/19/2025)
RR
Missouri
(12/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/18/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

ML
MSEC, LLC
MARINER | MSEC, LLC | MONTAGE SECURITIES, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH

CRD#: 154327 / SEC#: , 8-68627

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Phone number
(913) 904-5700
Established
Delaware since 05/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARINER WEALTH ADVISORS, LLCMEMBER
DORIAN, ANNE JENELLEPRESIDENT5736231
ERSKINE, ANN TERESACHIEF COMPLIANCE OFFICER5071135
STEIGHNER, KAREN ANNPFO/POO/FINOP1100675

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

MSEC, LLC

CRD#: 154327West Hartford, CT 06107

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