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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Michael Williams is a financial advisor with Morgan Stanley. Dennis has been in the industry since 1985. Dennis has a wide range of experience and expertise in the financial services industry. Dennis has a Series 7, Series 3, Series 63, Series 65, and Series 8 securities licenses. Dennis also has a Series 10 and a Series 9 securities license. Dennis is currently registered in Florida, Illinois, Kansas, Missouri, Oklahoma, and Texas as a registered representative. Dennis is also a registered investment advisor in Florida, Illinois, Kansas, Missouri, Oklahoma, and Texas. Dennis has worked at several firms before joining Morgan Stanley. These firms include Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lehman Brothers Inc., and Citigroup Global Markets Inc.
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
MO
06/24/2019 - Present
Morgan Stanley (Kansas City MO)
MO
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (KANSAS CITY MO)
NY
09/22/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/01/1985 - 09/09/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 12/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/07/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/30/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1988
Series 3 - National Commodity Futures Examination
BC
Issued 04/20/1985
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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