Dennis Mauk, financial advisor Kernersville NC
89 score

Dennis Mauk

CRD Number: 4459230
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dennis Mauk (CRD# 4459230) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Kernersville, NC and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Kernersville, NC Feb 2015 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Kernersville, NC Feb 2015 - Current 1
Wells Fargo Bank Na Winston Salem, NC Sep 2013 - Feb 2015 1
Wells Fargo Advisors LLC Winston Salem, NC Sep 2013 - Feb 2015 1
Pnc Investments Pittsburgh, PA Dec 2012 - Aug 2013 < 1
Pnc Bank Pittsburgh, PA Dec 2012 - Aug 2013 < 1
Rbc/pnc Bank Winston-salem, NC Mar 2010 - Dec 2012 2
Flow Honda Winston-salem, NC Jul 2009 - Mar 2010 < 1
Options/new Insights Winston-salem, NC Aug 2003 - Mar 2010 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2014
Contact Info for Dennis P. Mauk
Phone Number: 800-637-7455
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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