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Eugene White Pashley

CRD# 1044673·Registered 1982 - 2011
Previously Registered: Being a previously registered professional could mean that Eugene 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.

Professional Summary

Eugene White Pashley, who also goes by Eugene White Pashley, was a registered financial advisor. Eugene was a previously registered financial professional and started their career in finance 1982 - 2011. Eugene had worked at 4 firms and has passed the Series 63, Series 7, Series 6, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Eugene White Pashley

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

44 years in the financial services industry

Current & Past Employments

DALTON STRATEGIC INVESTMENT SERVICES INC.·CRD# 23485
BD
Spencer, IN
March 29, 2007 - December 31, 2011
DALTON STRATEGIC INVESTMENT SERVICES INC.·CRD# 23485
BD
Spencer, IN
February 10, 2006 - March 14, 2007
PASHLEY FINANCIAL SERVICES, INC.·CRD# 23017
BD
Marmora, NJ
November 22, 1988 - October 24, 2006
WINTHROP INVESTMENTS·CRD# 3786
BD
February 25, 1988 - December 19, 1988
FORESTERS FINANCIAL SERVICES, INC.·CRD# 305
BD
May 13, 1982 - February 11, 1988

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Current Firm

DS
DALTON STRATEGIC INVESTMENT SERVICES INC.

DALTON STRATEGIC INVESTMENT SERVICES INC.

CRD#: 23485 / SEC#: 8-40545
BD
Terminated by SEC on 03/30/2015

Contact Information

Established

Indiana since 05/19/1988

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
DALTON, STEVEN MARKCHIEF COMPLIANCE OFFICER1059214
DALTON, STEVEN MARKPRESIDENT1059214

Disclosures

Regulatory Event

3

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1982About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1988About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1982About the Series 6 exam

Series 53 — Municipal Securities Principal Examination

Passed Oct 1988About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Aug 1988About the Series 24 exam

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CRS (Client Relationship Summary)

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

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