Dale E. Para
Professional summary
Dale Edward Para was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dale is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Dale had worked at 4 firms, which includes WINDSOR STREET CAPITAL LP, ANDERSON & STRUDWICK INCORPORATED, JESUP & LAMONT SECURITIES CORP, ANTAEUS CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2011 - June 26, 2013
WINDSOR STREET CAPITAL, LP
July 1, 2010 - August 24, 2011
ANDERSON & STRUDWICK, INCORPORATED
January 2, 2004 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
March 2, 1982 - December 31, 2003
ANTAEUS CAPITAL, INC.
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
Series 55
Date: 12/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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