Dennis W. Baltz

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CRD#: 4980028

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dennis William Baltz was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2005. Dennis had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. RAIN ADVISORS. DIVERSIFIED FINANCIAL SERVICES.INCLUDING BROKERAGE & DIRECT INVESTMENTS, ALSO SELL INSURANCE. LIFE, DISABILITY & LTC THROUGH CRUMP.POSITION IS SALES. MEET WITH CLIENTS TO SELL PRODUCTS. DEVOTE 80HRS/MO.COMPENSATION IS FORM COMMISSIONS. ESTABLISHED CONNECTION 04/2010.2. DONALD CASSONE & ASSOCIATES LLC. TAX PREP/ACCOUNTING. EMPLOYEE. DEVOTE 1 TO 20% PER MONTH. ANNUAL INCOME 1 TO 20%. ESTABLISHED CONNECTION 02/01/15.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 4, 2010 - March 3, 2025

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

WILTON, CT

Past

April 28, 2010 - March 3, 2025

THE INVESTMENT CENTER, INC.

CRD#: 17839

WILTON, CT

Past

August 20, 2009 - May 4, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

GREENWICH, CT

Past

July 28, 2009 - May 4, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

GREENWICH, CT

Past

October 10, 2008 - July 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HARRISON, NY

Past

April 2, 2007 - October 7, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PURCHASE, NY

Past

April 2, 2007 - October 7, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Past

September 14, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

September 14, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 9, 2005 - February 15, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/19/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/2013

General Securities Principal Examination

Current Firm

IC ADVISORY SERVICES, INC.

CRD#: 140190 / SEC#: 801-66512

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Contact information

Main Address

1420 Route 206 North Suite 210, Bedminster, NJ 07921

Mailing Address

1420 Route 206 North, Suite 210 P.o. Box 770, Bedminster, NJ 07921

Phone number

(908) 707-4422

Established

Firm type

Fiscal year end

# of Employees

220

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/30/2025)

FORM ADV PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	5,528
AUM (Assets Under Management)	$ 2,056,415,877

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/02/2024	Cover Page	Report
02/15/2024	Cover Page	Report
01/10/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Dennis W. Baltz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE INVESTMENT CENTER, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2021

Series 66

Date: 1/19/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/8/2005

Series 24

Date: 5/16/2013

Current Firm

IC ADVISORY SERVICES, INC.

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

IC ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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