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Dennis G Buki

Description

Dennis Buki a financial professional at Waldman Financial Advisers, a $92M dollar RIA based in Vienna, VA. Dennis is also registered with Cambridge Investment Research, Inc., a broker-dealer with over 2,400 registered representatives nationwide. Dennis has held an industry securities registration for 8 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Dennis G Buki has not answered any questions on Financial Q&A.

Top Guides

Dennis G Buki has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Corporations or Other Businesses
High Net Worth Individuals

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Waldman Financial Advisers 5 years May 2008 - Present
Cambridge Investment Research, Inc. 5 years, 2 months Mar 2008 - Present
Cambridge Investment Research Advisors Inc 2 months Mar 2008 - May 2008
Securities America Advisors, Inc. 4 years, 1 month Feb 2004 - Mar 2008
Securities America, Inc. 4 years, 2 months Jan 2004 - Mar 2008
Dennis G. Buki, Esquire 14 years, 10 months Jul 1998 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/20/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
12/20/2010
06/21/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 02/17/2004
General Securities Representative Examination Series 7 02/12/2004

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: PERCENTAGE OF INCOME, PERCENTAGE OF NET WORTH