Dale E. Tessler
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 Edell Tessler, who also goes by Dale E Stern, Dale Edell Stern, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1982. Dale had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
June 7, 1999 - May 28, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 1999 - May 28, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 1997 - May 4, 1999
RETIREMENT FOUNDATIONS, INC.
January 19, 1996 - June 4, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
September 26, 1995 - May 30, 1997
SOUTHTRUST SECURITIES, LLC
March 14, 1995 - October 4, 1995
MUTUAL SERVICE CORPORATION
February 15, 1995 - March 20, 1995
INVESTACORP, INC.
June 22, 1988 - March 6, 1995
MERIDIAN, DUNHILL & CO., INC.
January 5, 1987 - June 28, 1988
MORGAN STANLEY DW INC.
October 18, 1983 - January 12, 1987
E. F. HUTTON & COMPANY INC
March 9, 1983 - September 8, 1983
MOORE & SCHLEY, CAMERON & CO.
October 27, 1982 - September 8, 1983
GMS GROUP
January 25, 1982 - September 2, 1982
J. B. HANAUER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
