TrueAdvisor
TrueAdvisor
DB
CFP
DB
CFP

Dennis Burgess

Sws Advisors, INC.
42 Years of Experience
Covington, OH
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Dennis Burgess is a CFP-designated registered investment advisor at Sws Advisors, INC., based in Covington, OH, with 42 years of industry experience. Dennis is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 561 clients with $60M in assets under management.

Sws Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
7 advisors
Number of Clients
561 clients
Average Client Portfolio
$107K average
Assets Under Management
$60.0M

Fee Structure

Minimum Investment:$100K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K1.75%
$500K - $750K1.50%
$750K - $1.0M1.25%
$1M+1.00%

Rates shown are for all assets except variable annuities, which have a separate schedule (1.00% up to $1M, 0.75% over $1M). Financial planning services may be provided to advisory clients for no additional fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6505 State Route 48, Covington, OH, 45318

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
October 2001
Final
Employment Separation After Allegations
July 2001
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Dennis is a tax preparer since 1998, dedicating full-time hours during tax season. Dennis is also licensed to sell life and health insurance and fixed annuities, earning commissions.

Employment History
Current Registrations
Sws Advisors, INC.
May 2016 - Present · 10 yrs 5 mos
Omni Financial Securities, INC.Broker
January 2016 - Present · 10 yrs 9 mos
Previous Registrations
Primesolutions Securities, INC.Broker
February 2008 - November 2015 · 7 yrs 9 mos
Abacus Investments, INC.Broker
October 2007 - January 2008 · 3 mos
Dalton Strategic Investment Services INC.Broker
March 2007 - September 2007 · 6 mos
Dalton Strategic Investment Services INC.Broker
May 2002 - March 2007 · 4 yrs 10 mos
Usallianz Securities, INC.Broker
May 2001 - July 2001 · 2 mos
Carlson National Brokers, LTDBroker
September 1998 - December 2000 · 2 yrs 3 mos
Intersecurities, INC.Broker
January 1998 - August 1998 · 7 mos
Aegon USA Securities INC.Broker
October 1995 - January 1998 · 2 yrs 3 mos
Ifg Network Securities, INC.Broker
December 1992 - October 1995 · 2 yrs 10 mos
Planned Investments INC.Broker
November 1989 - December 1992 · 3 yrs 1 mo
Investacorp, INC.Broker
November 1988 - December 1989 · 1 yr 1 mo
Fsc Securities CorporationBroker
May 1988 - November 1988 · 6 mos
B.C. Christopher Securities CO.Broker
April 1986 - July 1988 · 2 yrs 3 mos
The O.N. Equity Sales CompanyBroker
December 1981 - September 1985 · 3 yrs 9 mos
State Registrations3 states
FLINOH
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More financial advisors in Covington, OH →All financial advisors in Ohio →