Dale T. Yamashiro
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.
Dale Toyohisa Yamashiro was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1983. Dale had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2017 - July 6, 2017
AGES FINANCIAL SERVICES, LTD.
December 1, 2001 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
August 16, 1995 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
February 13, 1992 - August 15, 1995
THE INVESTMENT CENTER, INC.
April 17, 1989 - October 29, 1991
INVESTACORP, INC.
January 28, 1985 - November 5, 1988
TITAN/VALUE EQUITIES GROUP, INC.
October 26, 1983 - October 30, 1985
CHESLEY AND DUNN, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
