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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

DENNIS M SEELEY

Advisor at CHARLES SCHWAB & CO., INC.

Framingham, MA

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Search this name across graphsid dfx:ria:77a32cbe-631a-2fb2-2471-32baf4b5ba8b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 7, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 22, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 22, 2003
First registration: Mar 7, 2006
Dual registered: yes, broker-dealer
Other names: DENNIS MICHAEL SEELEY|DENNIS M SEELEY|DENNIS M SEELEY|Dennis Seeley
IAPD individual key: 4691179

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 27, 2022	n/a	yes	Framingham, MA	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Oct 14, 2022	no	Framingham, MA\|OMAHA, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Sep 7, 2023	no	OMAHA, NE\|NATICK, MA\|Wellesley, MA\|Framingham, MA	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Feb 16, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	Previous registration
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 20, 2006	Jul 14, 2009	no	BOSTON, MA	Previous registration
AMUNDI ASSET MANAGEMENT US, INC.	Former SEC adviser	Mar 7, 2006	Apr 20, 2006	no	BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Sep 7, 2023	Feb 27, 2018	-2,018	Channel change	Other
TD AMERITRADE, INC.	CHARLES SCHWAB & CO., INC.	Oct 14, 2022	Jan 27, 2022	-260	Channel change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	SCOTTRADE INVESTMENT MANAGEMENT	Jul 14, 2009	Feb 16, 2017	2,774	Firm change after gap	Other
AMUNDI ASSET MANAGEMENT US, INC.	AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Apr 20, 2006	Apr 20, 2006	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
111514:7870:MA:2023-09-07	Sep 7, 2023	Feb 27, 2018	FRAMINGHAM, MA	Firm change after gap
7870:5393:NE:2022-10-14	Oct 14, 2022	Jan 27, 2022	OMAHA, NE	Firm change after gap

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 27, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Oct 14, 2022factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Feb 16, 2017 to Feb 26, 2018factForm ADV
→ AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 20, 2006 to Jul 14, 2009factForm ADV
→ AMUNDI ASSET MANAGEMENT US, INC.Registered adviserregistration: previous registration
Mar 7, 2006 to Apr 20, 2006factForm ADV

Dated events

No dated event names this entity yet.