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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

DENNIS L GUMP

Advisor at STRATEGIC ADVISERS LLC

LAWRENCE, PA

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Search this name across graphsid dfx:ria:3a6e6a43-9e03-a76d-7a19-2f03a0ba3143

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 18, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 8, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Mar 8, 2008
First registration: Jul 18, 2012
Dual registered: yes, broker-dealer
Other names: DENNIS LEE GUMP|DENNIS LEE GUMP|DENNIS LEE GUMP|DENNIS LEE GUMP
IAPD individual key: 5336247

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	LAWRENCE, PA	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|LAWRENCE, PA\|SARASOTA, FL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 27, 2014	Jul 13, 2018	no	PITTSBURGH, PA\|CENTREVILLE, VA	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Oct 1, 2013	Jul 1, 2014	no	CANONSBURG, PA	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Jun 13, 2013	Oct 4, 2013	no	CANONSBURG, PA\|LYNNFIELD, MA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 18, 2012	Feb 11, 2013	no	PITTSBURGH, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
CITIZENS SECURITIES, INC.	STRATEGIC ADVISERS LLC	Jul 1, 2014	Jun 27, 2014	-4	Firm change	Other
INVESTORS CAPITAL ADVISORY	CITIZENS SECURITIES, INC.	Oct 4, 2013	Oct 1, 2013	-3	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	INVESTORS CAPITAL ADVISORY	Feb 11, 2013	Jun 13, 2013	122	Firm change	Other

Relationships

Registered with (5)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jun 27, 2014 to Jul 13, 2018factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Oct 1, 2013 to Jul 1, 2014factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Jun 13, 2013 to Oct 4, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 18, 2012 to Feb 11, 2013factForm ADV

Dated events

No dated event names this entity yet.