Kathleen Dennis (CRD# 2083061) is an Investment Advisor Representative working at Valic Financial Advisors, Inc. in St Charles, IA and has over 33 years of experience in the finance industry.
CRD# 4343046
Osaic Wealth, Inc.
CRD# 4539689
Foster Group, Inc.
CRD# 5482072
Principal Securities, Inc.
Company Name | Location | Dates | Years |
---|---|---|---|
Agia | Houston, TX | Dec 2022 - Current | 1 |
Valic Financial Advisors, Inc. | Overland Park, KS | Oct 2018 - Current | 5 |
Ipi Wealth Management, Inc. | St. Charles, IA | Jan 2018 - Oct 2018 | < 1 |
Investment Planners, Inc. | St. Charles, IA | Jan 2018 - Oct 2018 | < 1 |
Financial Services/simple Solutions | St Charles, IA | Feb 2002 - Oct 2018 | 16 |
Sii Investments | St Charles, IA | Jun 2015 - Dec 2017 | 2 |
Ameritas Investment Corp | Lincoln, NE | Oct 1999 - Jun 2015 | 15 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Nov 1990 |
S65 | NASAA Investment Advisors Law Examination | Nov 1999 |
S66 | NASAA Uniform Combined State Law Examination | Mar 2000 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- IA
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Total Assets Under Management25,247MILLIONS
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Total Number of Accounts302,501ACCOUNTS
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Average Account Value$83,463
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