DL
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Dennis Lomax
36 Years of Experience
Lighthouse Point, FL
4 DisclosuresBroker
Dennis Lomax is a registered investment advisor at Cetera Investment Advisers LLC, based in Lighthouse Point, FL, with 36 years of industry experience. Dennis operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
2050 E Sample Road, Lighthouse Point, FL, 33064
Get directionsHistory
Regulatory History (4)
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.
Customer Dispute
April 2005Denied
Customer Dispute
September 2004Settled
Customer Dispute
February 2003Denied
Customer Dispute
September 2000Settled
Other Business Activities
Dennis is the president of D.L. Enterprises of Palm Beach, Inc., a corporation used to pay bills and expenses associated with his brokerage business. He spends minimal time on this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2023 - Present · 3 yrs 1 mo
Cetera Wealth Services, LLCBroker
August 2019 - Present · 6 yrs 9 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
August 2005 - May 2021 · 15 yrs 9 mos
Summit Brokerage Services, INC.Broker
July 2005 - September 2019 · 14 yrs 2 mos
Wachovia Securities Financial Network, LLC
August 1997 - July 2005 · 7 yrs 11 mos
Wachovia Securities Financial Network, LLCBroker
July 1997 - July 2005 · 8 yrs
Investors Associates, INC.Broker
April 1996 - July 1997 · 1 yr 3 mos
Corporate Securities Group, INC.Broker
August 1994 - April 1996 · 1 yr 8 mos
Hibbard Brown & CO., INC.Broker
April 1989 - August 1994 · 5 yrs 4 mos
State Registrations36 states
ALAZCACOCTDCDEFLGAHIIDILINKYMAMDMEMIMNNCNJNMNVNYOHOKORPASCTNTXVAVTWAWIWY
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.