Dennis R. Van Duren
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 Richard Van Duren, who also goes by Dennis Galager, Dennis Richard Vanduren, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1975. Dennis had worked at 11 firms and has passed the Series 63, Series 3, Series 7, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2004 - June 16, 2014
MML INVESTORS SERVICES, LLC
June 9, 2003 - February 3, 2004
ZIONS DIRECT, INC.
October 30, 2001 - June 2, 2003
ZIONS DIRECT, INC.
July 1, 1999 - June 5, 2001
WELLS FARGO SECURITIES, LLC
March 28, 1991 - July 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
October 21, 1986 - March 8, 1991
CHARLES SCHWAB & CO., INC.
March 20, 1985 - September 29, 1986
FSC SECURITIES CORPORATION
June 7, 1983 - February 13, 1985
CITIGROUP GLOBAL MARKETS INC.
June 26, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 5, 1979 - May 19, 1983
UBS FINANCIAL SERVICES INC.
February 10, 1978 - September 22, 1979
CITIGROUP GLOBAL MARKETS INC.
June 1, 1977 - February 27, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
December 9, 1975 - December 31, 1977
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/6/1975
Registered Representative ExaminationCurrent Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
