Dale R. Martin
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 Richard Martin was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1982. Dale had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2005 - July 1, 2015
MUTUAL OF AMERICA SECURITIES LLC
January 6, 2005 - July 1, 2015
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 18, 2002 - December 17, 2003
LEGEND SECURITIES, INC.
July 24, 2000 - November 21, 2000
FORESTERS FINANCIAL SERVICES, INC.
March 21, 2000 - July 21, 2000
INVESTOR'S ADVOCATE, LLC
June 8, 1999 - January 31, 2000
ESSEX NATIONAL SECURITIES, LLC
May 13, 1998 - October 19, 1998
DIME SECURITIES, INC.
August 22, 1997 - October 28, 1997
SIGNATOR INVESTORS, INC.
May 18, 1982 - September 7, 1984
SIGNATOR INVESTORS, 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
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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