Dennis Mumford is a registered investment advisor, based in Belmont, NC, with 38 years of industry experience.
Location
Belmont, NC
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dennis is an independent insurance agent for various insurance companies. He is also a managing member/financial professional at Core Max Advisors LLC, dedicating about a quarter of his time to this role. Additionally, Dennis is an advisory representative of a RIA (CIRA), spending about half his time on this activity, and a managing member at Advisors on Call, LLC, spending about 10-20% of his time.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
Metlife Securities INC.
Metlife Securities INC.Broker
MML Investors Services, INC.
MML Investors Services, INC.Broker
Securities America, INC.Broker
Tower Square Securities, INC.Broker
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
Tower Square Securities, INC.Broker
Uslife Equity Sales CORP.Broker
Guardian Investor Services CorporationBroker
Bnl Securities INC.Broker
Focus Securities, INC.Broker
Jefferson-Pilot Investor Services, INC.Broker
State Registrations4 states
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.