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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-01-27
  • CT RA
    APPROVED
    Since 2022-01-27

Branch Locations

161 Worcester Road Suite 102, Framingham, MA 01701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade, Inc. Natick MA 06/2016 02/2018
Td Ameritrade, Inc. Framingham MA 02/2018 12/2022
Td Ameritrade Investment Management, Llc Framingham MA 02/2018 12/2022
Charles Schwab & Co., Inc. Framingham MA 01/2022 Present
Charles Schwab Bank, Ssb Framingham MA 07/2022 Present
  • 06/2016 → 02/2018
    Scottrade, Inc.
    Natick, MA
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    Framingham, MA
  • 02/2018 → 12/2022
    Td Ameritrade Investment Management, Llc
    Framingham, MA
  • 01/2022 → Present
    Framingham, MA
  • 07/2022 → Present
    Charles Schwab Bank, Ssb
    Framingham, MA
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Natick, MA
    Wellesley, MA
    Framingham, MA
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Framingham, MA
    Omaha, NE
  • 2017-02-16 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2006-04-20 → 2009-07-14
    Amundi Pioneer Institutional Asset Management, Inc.
    Boston, MA
  • 2006-03-07 → 2006-04-20
    Amundi Asset Management Us, Inc.
    Boston, MA
Other Businesses

1) Salon Moxie, LLC | Investment Related:No|89 Main St Suite 106|Medway|Massachusetts|2053|USA|Other|owner / helper|11/3/2020|Less than 20|0.000000|My wife opened a salon and she put me on as a part owner. i do not have any responsibilities for the salon other than helping her clean it on Sundays. she hasn't opened a bank checking act or savings act for it at this time, she will. we haven't decided if i'll be on the acts at this time...my guess is i'll be an authorized user to help with bill paying.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-22
  • S66 Uniform Combined State Law Examination
    2003-12-22
Other Names
  • Dennis Michael Seeley
  • Dennis M Seeley
  • Dennis M Seeley
  • Dennis Seeley

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