DS
DS
Dennis Schwary
52 Years of Experience
Newport Beach, CA
8 DisclosuresBroker
Dennis Schwary is a registered investment advisor at Morgan Stanley, based in Newport Beach, CA, with 52 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
800 Newport Center Drive, Suite 500, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2012Settled
Customer Dispute
September 2010Settled
Customer Dispute
March 2008Denied
Customer Dispute
January 2004Settled
Customer Dispute
March 2002Settled
Customer Dispute
April 2001Closed-No Action
Customer Dispute
March 2001Denied
Customer Dispute
March 1990Award / Judgment
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
November 1979 - July 1993 · 13 yrs 8 mos
Loeb PartnersBroker
January 1978 - November 1979 · 1 yr 10 mos
Hornblower, Weeks, Noyes & Trask IncorporatedBroker
May 1977 - January 1978 · 8 mos
Hornblower & Weeks - Hemphill, Noyes IncorporatedBroker
May 1973 - May 1977 · 4 yrs
State Registrations45 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.