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Dean Anthony Obenauer

Morgan Stanley

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About Dean Anthony Obenauer

Dean Anthony Obenauer is a registered investment advisor representative with Morgan Stanley. Dean has been in the securities industry since December 1992. Dean has licenses in both Nevada and Texas. Dean has previously been registered with Ameriprise Financial Services, LLC, UMB Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Prudential Securities Incorporated, Smith Barney Inc., and Lehman Brothers Inc.. Dean has Series 3, 7, 8, 31, 63, and 65 licenses. Dean has worked in the Denver, Colorado, and Reno, Nevada markets.

Firm Information

Dean Obenauer is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Dean Obenauer’s Registration & Firm History

NV

01/19/2021 - Present

Morgan Stanley (Reno NV)

CO

12/07/2012 - 01/20/2021

AMERIPRISE FINANCIAL SERVICES, LLC (DENVER CO)

CO

10/21/2010 - 12/12/2012

UMB FINANCIAL SERVICES, INC. (DENVER CO)

CO

02/09/2007 - 10/22/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DENVER CO)

CO

07/07/2000 - 02/20/2007

CITIGROUP GLOBAL MARKETS INC. (BOULDER CO)

NY

06/27/1994 - 07/11/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

07/31/1993 - 07/13/1994

SMITH BARNEY INC. (NEW YORK NY)

NY

12/04/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/18/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/04/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/08/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 09/15/2023

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/1997

Series 31 - Futures Managed Funds Examination

BC

Issued 12/02/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Dean Anthony Obenauer.
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