Dennis MainardCRD Number: 1344443
Current Firm: Woodbury Financial Services, Inc.
Dennis Mainard (CRD# 1344443) is an Investment Advisor Representative working at Woodbury Financial Services, Inc. in Valley Center, CA and has over 20 years of experience in the finance industry. Dennis Mainard has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
O'reilly Wealth Advisors
John P. Dubots Capital Management, LLC
Heyman Investment Counseling LLC
|Woodbury Financial Services, Inc.||Valley Center, CA||Oct 2007 - Current||9|
|Qrs & Associates||Valley Center, CA||Nov 1995 - Current||21|
|Mainard Financial||Valley Center, CA||Aug 1984 - Current||32|
|Mutual Service Corporation||West Palm Bech, FL||Mar 1999 - Oct 2007||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1996|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management2,697MILLIONS
Total Number of Accounts14,956ACCOUNTS
Average Account Value$180,319
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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