Dean Anthony Obenauer

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2021-01-28
TX	RA	APPROVED	2021-01-19

NV RA
APPROVED

Since 2021-01-28
TX RA
APPROVED

Since 2021-01-19

Branch Locations

5390 Kietzke Lane Suite 200, Reno, NV 89511 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Denver	CO	12/2012	01/2021
Morgan Stanley Smith Barney Llc	Renov	NV	01/2021	Present

12/2012 → 01/2021

Ameriprise Financial Services, Inc.

Denver, CO
01/2021 → Present

Morgan Stanley Smith Barney Llc

Renov, NV

Previous Registrations

2012-12-07 → 2021-01-20

Ameriprise Financial Services, Llc

Denver, CO
2010-10-21 → 2012-12-12

Umb Financial Services, Inc.

Denver, CO
2007-02-09 → 2010-10-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO
2001-02-23 → 2007-02-20

Citigroup Global Markets Inc.

Boulder, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-12-18
S63	Uniform Securities Agent State Law Examination	1992-12-04

S65 Uniform Investment Adviser Law Examination

1992-12-18
S63 Uniform Securities Agent State Law Examination

1992-12-04

Other Names

Dean A Obenauer

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BENJAMIN F. EDWARDS & COMPANY, INC.

LPL FINANCIAL LLC

TREO VENTURES, LLC

ELEVAGE PARTNERS, LLC

DISCRETIONARY INC.

Other Investors

LEONARD R WOHLETZ

ANGEL MARIE SANDOVAL

RYAN SCOTT GROSS

JAMES WARREN FRIEDLAN

SUNTALEE KOOZER

MITCHELL J MOUNTAIN

Alexander Mallett

Jared D Marchegger

Other Offices

EDWARD JONES · RENO, NV

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RENO, NV

BENJAMIN F. EDWARDS & COMPANY, INC. · Reno, NV

LPL FINANCIAL LLC · RENO, NV

GW FINANCIAL · RENO, NV

TREO VENTURES, LLC · RENO, NV

ELEVAGE PARTNERS, LLC · RENO, NV

DISCRETIONARY INC. · RENO, NV

More in Reno, NV

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