Dennis Fearing (CRD #: 1288339), a broker registered with Berthel, Fisher, & Company Financial Services, is involved in an investor dispute over unsuitable recommendations, according to his BrokerCheck record, accessed on January 27, 2021.

Sigma Financial Corporation

On December 3, 2020, investors alleged that Dennis Fearing misrepresented and recommended unsuitable securities between 2012 and 2017. The investors further alleged that the firm failed to supervise Fearing. The investors are seeking $1,100,000; the dispute is pending.

On December 21, 2020, Fearing became the subject of a tax lien for $57,980.60.

Dennis Fearing has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 6 Investment Company Products/ Variable Contracts Representative Examination. He is a registered broker in Arizona, Georgia, Minnesota, North Dakota, Oregon, and Washington. He is a registered investment adviser in Minnesota.

Dennis Fearing has worked in the securities industry for 36 years. During that time, he has worked at the following firms:

  • Northland Asset Management (CRD #: 40258)
  • Associated Financial Services (CRD #: 1121)
  • Fintegra (CRD #: 16741)
  • Huntingdon Securities Corporation (CRD #: 16497)
  • American Investment Services (CRD #: 21111)
  • Financial Advantage Brokerage Services (CRD #: 37027)
  • IDS Financial Services (CRD #: 6320)
  • IDS Life Insurance Company (CRD #: 6321)
  • American Express Financial Advisors (CRD #: 6363)

If Dennis Fearing was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

Leave a Comment