Dennis Clare Tubbergen

Personal Legacy Planners

27 Years of Experience

5 DisclosuresSells Insurance

View SEC Summary

Areas of Practice

Insurance Planning

Personal Legacy Planners

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

3 advisors

Number of Clients

Not specified

Average Client Portfolio

Not specified

Location

961 Four Mile Road Nw, Suite B, Grand Rapids, MI, 49544-8252

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History

Regulatory History (5)

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.

Criminal

January 2019

Final Disposition

Criminal

August 2016

Final Disposition

Regulatory

November 2010

Final

Customer Dispute

January 2008

Settled

Customer Dispute

March 2003

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Dennis is involved in several outside business activities. He spends minimal time on real estate/property management and DCT Management and Consulting, LLC. He dedicates about 10-20% of his time to PLP Services, LLC, focusing on case design and wholesale fixed life and annuity products, and a few hours per week to PLP Metals, LLC, buying and selling precious metals.

Employment History

Current Registrations

Personal Legacy Planners

May 2020 - Present · 5 yrs 9 mos

Previous Registrations

Personal Legacy Planners

February 2014 - September 2016 · 2 yrs 7 mos

Veritas Specialized Investment Services, LLC

November 2010 - December 2010 · 1 mo

USA Advanced Planners INC.Broker

January 2006 - February 2011 · 5 yrs 1 mo

USA Wealth Management LLC

June 2003 - December 2013 · 10 yrs 6 mos

USA Financial Securities CorporationBroker

July 2000 - January 2006 · 5 yrs 6 mos

Lifeusa Securities, INC.Broker

September 1998 - August 2000 · 1 yr 11 mos

Investors Capital CORP.Broker

February 1995 - August 1998 · 3 yrs 6 mos

Mariner Financial Services, INC.Broker

July 1994 - February 1995 · 7 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.