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DG

Dennis R. Graves

Some features on this profile are disabled
CRD#: 829670
DG

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 Ralph Graves was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1982. Dennis had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 1 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 28, 2019 - March 11, 2020

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Centennial, CO
Past

January 7, 2015 - March 26, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA
CRD#: 157314
CENTENNIAL, CO
Past

January 2, 2015 - March 28, 2019

ALLEGIS INVESTMENT SERVICES, LLC

BD
CRD#: 168557
Aurora, CO
Past

April 23, 2010 - December 31, 2014

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
CENTENNIAL, CO
Past

April 19, 2010 - December 31, 2014

SIGNATOR FINANCIAL SERVICES, INC.

RIA
CRD#: 19061
CENTENNIAL, CO
Past

October 27, 2007 - September 2, 2008

INSPHERE SECURITIES, INC.

RIA
CRD#: 136433
LITTLETON, CO
Past

August 8, 2007 - September 2, 2008

INSPHERE SECURITIES, INC.

BD
CRD#: 136433
LITTLETON, CO
Past

May 23, 2002 - August 10, 2007

EQUITY SERVICES, INC.

RIA
CRD#: 265
LITTLETON, CO
Past

March 21, 2002 - August 10, 2007

EQUITY SERVICES, INC.

BD
CRD#: 265
LITTLETON, CO
Past

March 4, 1992 - February 26, 2002

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

October 29, 1982 - May 5, 1992

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

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
IAR
Series 65
Date: 12/22/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 11/9/1976
Registered Representative Examination

Current Firm

DI
DFPG INVESTMENTS, LLC
1031 CAPITAL SOLUTIONS | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SUMMIT GROUP WEALTH ADVISORS | SERRATELLI FINANCIAL GROUP | SENTINELROCK WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PARKVIEW WEALTH ADVISORS | OXFORD FINANCIAL GROUP | NUCLEUS FINANCIAL GROUP | MARCH | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | HULSEY FINANCIAL | GROVE WEALTH ADVISORS | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES | DIVERSIFY ADVISOR NETWORK | DFPG INVESTMENTS, LLC | DFPG INVESTMENTS, INC. | DFPG INSURANCE, INC. | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BRENT REED FINANCIAL SERVICES | ASHLAND PACIFIC

CRD#: 155576 / SEC#: 801-107896, 8-68730

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

Main Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Mailing Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Phone number
(801) 838-9999
Established
Utah since 10/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
20

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)Latest Form ADV

Part 2 Brochures

DFPG FORM ADV PART 2A (3/29/2024)
DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (3/29/2024)
DFPG FORM ADV PART 2A_03.28.2023 (3/29/2024)

Direct owners and executive officers

NamePositionCRD#
FALCON PARK CAPITAL, LLCLIMITED LIABILITY COMPANY
ANDERSON, JOHN BRADLEYCHIEF COMPLIANCE OFFICER6037308
BADALAMENTI, CHARLES RICHARDFINOP2065038
BENDIX, MICHAEL ALLANCEO5379777
LAGA, DAVID RYANCFO & COO4919873
SMITH, RYAN OMERPRESIDENT4340304

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

DFPG INVESTMENTS, LLC

CRD#: 155576

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