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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Louis Dennis is an active Investment Advisor Representative (IAR) and Registered Representative (RR) with Morgan Stanley. Charles has been in the financial services industry since September 29, 1985, and has experience working with various financial institutions, including Citigroup Global Markets Inc., Lehman Brothers Inc., Bear Stearns & Co. Inc., and Shearson Lehman Brothers Inc. Charles holds several licenses, including Series 7, 31, 63, and 65, and has earned the designation of Certified Financial Planner. Charles is registered to provide investment advisory services in New Jersey, New York, and Texas. In addition to individual investors, Charles provides financial services to a range of clients including: investment clubs, insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
04/02/2020 - Present
Morgan Stanley (New York NY)
NY
10/16/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/11/1990 - 10/19/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/12/1986 - 01/04/1990
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
09/24/1985 - 09/15/1986
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 05/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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