Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Seeley is a financial advisor with Charles Schwab & Co., Inc. Dennis is a registered representative with Financial Industry Regulatory Authority (FINRA). Dennis has been in the financial services industry for over 17 years. Dennis is registered to provide investment advisory services in Connecticut. Dennis has previously worked at TD AMERITRADE, INC., SCOTTRADE, INC., SANTANDER SECURITIES LLC, NYLIFE SECURITIES LLC, RAFFERTY CAPITAL MARKETS, LLC, PIONEER FUNDS DISTRIBUTOR, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
MA
01/27/2022 - Present
Charles Schwab & CO., Inc. (Framingham MA)
MA
02/26/2018 - 07/29/2024
TD AMERITRADE, INC. (Framingham MA)
MA
06/23/2016 - 02/26/2018
SCOTTRADE, INC. (NATICK MA)
MA
12/10/2012 - 06/28/2016
SANTANDER SECURITIES LLC (MILFORD MA)
MA
06/29/2011 - 01/04/2013
NYLIFE SECURITIES LLC (WESTBORO MA)
NY
03/23/2010 - 01/03/2011
RAFFERTY CAPITAL MARKETS, LLC (GARDEN CITY NY)
MA
03/03/2006 - 07/14/2009
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
MN
12/04/2003 - 11/18/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
12/04/2003 - 11/18/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 12/22/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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