Dennis Thomas Facius

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/1989 → 04/2024
  Massachusetts Mutual Life Insurance Comp
  Baltimore, MD
• 07/1991 → 04/2024
  Mml Investors Services, Inc.
  Baltimore, MD
• 04/2024 → Present
  Lpl Financial Llc
  Hunt Valley, MD

Previous Registrations

• 2016-07-26 → 2024-04-24
  Mml Investors Services, Llc
  Lutherville, MD
  Baltimore, MD

Other Businesses

1) 03/14/2024 - Dennis Facius - Non-Variable Insurance - Selling: Disability, health, life insurance - MassMutual, DI Broker - MD 21030 - Investment related - 160 Hours per month - Start date: 04/22/2024. 2) 03/14/2024 - RBJ Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 3) 03/14/2024 - Retirement Plan Solutions, LLC - Business Entity For Tax/Investment Purposes Only - Co-owner - MD 21030 - Non investment related - 160 Hours per month - Start date: 04/22/2024. 4) 03/14/2024 - Strategic Financial Services - Business Entity For Tax/Investment Purposes Only - Sole Owner - MD 21784 - Non investment related - 1 Hour per month - Start date: 10/06/1999.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-06-29
• S66 Uniform Combined State Law Examination
  1999-09-10