DD
DD
Dean Dillenberg is a registered investment advisor, based in Austin, TX, with 9 years of industry experience.
Location
3711 S Mopac Expy, Suite 150, Austin, TX, 78746
Get directionsHistory
Regulatory History (1)
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
June 2020Denied
Other Business ActivitiesSells Insurance
Dean works as an investment advisor representative and registered representative, dedicating about 90% of his time to the former. He also sells fixed insurance and variable securities, dedicating minimal time to these activities.
Employment History
Current Registrations
Oakwood Capital Securities, INC.Broker
January 2024 - Present · 2 yrs 6 mos
49 Financial
January 2023 - Present · 3 yrs 6 mos
Previous Registrations
Thrivent Advisor Network, LLC
June 2020 - December 2022 · 2 yrs 6 mos
Pks Advisory Services, LLC
December 2019 - July 2020 · 7 mos
Purshe Kaplan Sterling InvestmentsBroker
October 2019 - January 2024 · 4 yrs 3 mos
AXA Advisors, LLC
August 2016 - October 2019 · 3 yrs 2 mos
AXA Advisors, LLCBroker
July 2016 - October 2019 · 3 yrs 3 mos
State Registrations23 states
AZCACOFLILINMAMIMNMOMTNCNENJNMNYOHORPATXVAWAWI
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.