JD
John P. Dennis
OSAIC INSTITUTIONS
Kill Devil Hills, NC 27948
Some features on this profile are disabled
CRD#: 1534424
JD
Professional summary
John Patrick Dennis, who also goes by Dj D Dennis, J D Dennis, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Kill Devil Hills, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dj D Dennis | J D Dennis
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.
1.) Southern Bank. Yes, investment related. Started Jan 2024. Financial Advisor Referral Program. 1% increase in grid payout if meet referral goal. Refer business to Southern Bank partners.
CRS (Client Relationship Summary) - RIA
Click below to view John Patrick Dennis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Dennis'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®
NoneExperience
Current
January 2, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 202 S. Croatan Hwy, Kill Devil Hills, NC 27948RIA
BD
CRD#: 35371
Kill Devil Hills, NC
Current
January 2, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 202 S. Croatan Hwy, Kill Devil Hills, NC 27948RIA
BD
CRD#: 35371
Kill Devil Hills, NC
Past
November 30, 2011 - January 9, 2013
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
CHESAPEAKE, VA
Past
November 30, 2011 - January 9, 2013
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHESAPEAKE, VA
Past
October 18, 2002 - December 14, 2011
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
NAGS HEAD, NC
Past
October 18, 2002 - December 14, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NAGS HEAD, NC
Past
December 31, 2001 - October 21, 2002
JBS LIBERTY SECURITIES, INC.
RIA
CRD#: 36179
NAGS HEAD, NC
Past
June 1, 1994 - October 21, 2002
JBS LIBERTY SECURITIES, INC.
BD
CRD#: 36179
KANNAPOLIS, NC
Past
September 23, 1992 - June 2, 1994
COMPULIFE INVESTOR SERVICES, INC.
BD
CRD#: 21543
ST. CLOUD, MN
Past
August 5, 1986 - August 31, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 5, 1986 - August 31, 1992
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(1/21/2020)
RR
Florida(5/22/2018)
RR
Indiana(10/17/2023)
RR
Louisiana(3/16/2020)
RR
Maryland(11/3/2014)
RR
New York(1/21/2020)
RR
North Carolina(1/2/2013)
IAR
North Carolina(1/2/2013)
RR
Pennsylvania(9/30/2021)
RR
Virginia(1/2/2013)
IAR
Virginia(1/2/2013)
RR
Washington(8/8/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
