Wednesday, October 21, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Chief Compliance Officer and AML Compliance Officer of Broker Dealer and Investment Advisor, Registered Options Principal · Wilmington Capital Securities, LLC

Dennis Peter Lee

CRD 6008539 · Named on Form ADV at one SEC-registered adviser

At a glance

Wilmington Capital Securities, LLC, an SEC-registered broker-dealer firm based in Garden City, NY with $277 million in regulatory assets, lists Dennis Peter Lee on its Form ADV as Chief Compliance Officer and AML Compliance Officer of Broker Dealer and Investment Advisor, Registered Options Principal.

Firms and roles

  • Wilmington Capital Securities, LLCChief Compliance Officer and AML Compliance Officer of Broker Dealer and Investment Advisor, Registered Options PrincipalBroker-dealer firm · Garden City, NY · $277M in regulatory assets

AtlasMembers

Dennis’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
Locked
Control-person status
Locked
When each role began
Locked
Each firm’s assets and growth
Locked
Search and export owners by title, state and firm size
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Ronald Brett DorushkinCEO of Broker Dealer, General Principal, Elected Manager, Wilmington Capital Securities, LLC
  • John MikesPresident of Broker Dealer, General Securities Principal, Elected Manager,osj Supervisor, Wilmington Capital Securities, LLC
  • Joseph Donald ColumboChairman of Broker Dealer, General Principal, Government Securities Principal, Msrb Principal, Elected Manager, Wilmington Capital Securities, LLC
  • Greg Todd VittorFinop, Principal Financial Officer & Principal Operations Officer, Wilmington Capital Securities, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Dennis’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.