Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Mitchell Schwary is a financial advisor with over 49 years of experience in the industry. Dennis is currently registered with Morgan Stanley and has been with the firm since June 2009. Previously, Dennis was registered with CITIGROUP GLOBAL MARKETS INC. from July 1993 to June 2009. Dennis has Series 7TO, SIE, Series 5, PC and Series 1 licenses. Dennis holds registrations in 45 states for both Broker/Dealer and Investment Advisor services. Dennis has a long history of working with a variety of clients, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, insurance companies, and investment companies. Dennis offers a variety of financial services, including financial planning, portfolio management, and investment advice.
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
CA
04/23/2020 - Present
Morgan Stanley (Newport Beach CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEWPORT BEACH CA)
NY
11/26/1979 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/18/1978 - 11/26/1979
LOEB PARTNERS
NA
05/05/1977 - 01/18/1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
NA
05/17/1973 - 05/05/1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
IA
Issued 06/20/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1977
PC - AMEX Put and Call Exam
BC
Issued 05/14/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Dennis Schwary is the right advisor for you? Invested Better is here to help.
