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DR

Dennis J. Rutter

FEARNLEY SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 7609850
DR

Professional summary

Dennis John Rutter, who also goes by Dennis Rutter, is a registered financial professional currently at FEARNLEY SECURITIES located in New York, New York.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2022. Dennis has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis Rutter

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 Dennis John Rutter'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®
None

Experience

Current

April 24, 2026 - Present

FEARNLEY SECURITIES

Office #1: 885 Third Avenue 26th Floor, New York, NY 10022
BD
CRD#: 174133
New York, NY
Past

November 28, 2022 - April 27, 2026

AMA SECURITIES LLC

BD
CRD#: 45988
STAMFORD, CT

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
RR
Series 63
Date: 3/27/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/28/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/7/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FEARNLEY SECURITIES
FEARNLEY SECURITIES | FEARNLEY SECURITIES, INC

CRD#: 174133 / SEC#: , 8-69566

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
885 Third Avenue 26th Floor, New York, NY 10022
Mailing Address
885 Third Avenue 26th Floor, New York, NY 10022
Phone number
(212) 277-3600
Established
New York since 10/01/2014
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FEARNLEY SECURITIES AS100% OWNER
BAKKE, CECILIE HELENECHIEF COMPLIANCE OFFICER7477246
FINK, JASON PETERPRINCIPAL, CEO2550196
HAHNE, PONTUS TORBJORNMEMBER OF THE BOARD OF DIRECTORS7651222
RASMUSSEN, JOACHIMMEMBER OF THE BOARD OF DIRECTORS7498636
ROETHER, CLAUDIUSINVESTMENT BANKING PRINCIPAL7629018
SHAW, ANTHONYFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7338445
VABO, RIKARDMEMBER OF THE BOARD OF DIRECTORS7253168
WESSEL, PETERCHAIRMAN OF THE BOARD OF DIRECTORS6495105

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

FEARNLEY SECURITIES

CRD#: 174133New York, NY 10022

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