Dean D. Henricks
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.
Dean David Henricks, who also goes by Dean D Hendricks, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1978. Dean had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 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 24, 2017 - July 15, 2021
OBERWEIS ASSET MANAGEMENT INC
October 29, 1999 - June 28, 2021
OBERWEIS SECURITIES, INC.
July 28, 1999 - October 28, 1999
GENEVA SECURITIES,INC.
June 25, 1999 - July 30, 1999
LPL FINANCIAL LLC
March 20, 1997 - June 29, 1999
BESTVEST INVESTMENTS, LTD.
October 18, 1995 - March 20, 1997
WEST SUBURBAN SECURITIES, INC.
May 10, 1991 - November 6, 1995
GIBRALTAR INVESTMENTS, INC.
December 13, 1988 - May 6, 1991
IDS LIFE INSURANCE COMPANY
December 13, 1988 - May 6, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
September 21, 1988 - October 18, 1988
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
June 1, 1978 - May 30, 1985
CONTISECURITIES, INC.
Primary Firm SEC Registration
OBERWEIS ASSET MANAGEMENT INC
CRD#: 105471 / SEC#: 801-35657
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: 5/22/1978
Registered Representative ExaminationCurrent Firm
OBERWEIS ASSET MANAGEMENT INC
CRD#: 105471 / SEC#: 801-35657
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110 |
| AUM (Assets Under Management) | $ 3,944,834,354 |
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.
