Dale E. King
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 Edward King was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1983. Dale had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2015 - September 25, 2015
LEFAVI WEALTH MANAGEMENT
November 30, 2009 - December 31, 2013
LEFAVI WEALTH MANAGEMENT
August 19, 2004 - November 24, 2009
LEFAVI WEALTH MANAGEMENT
August 6, 2003 - July 20, 2015
BRUCE A. LEFAVI SECURITIES, INC.
January 7, 2003 - August 21, 2003
MOMENTUM INDEPENDENT NETWORK INC.
April 15, 1999 - January 30, 2001
IDS LIFE INSURANCE COMPANY
April 15, 1999 - January 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
February 7, 1996 - October 25, 1999
GUARANTY BROKERAGE SERVICES, INC.
May 31, 1994 - February 6, 1996
ARAGON FINANCIAL SERVICES, INC.
November 22, 1993 - June 14, 1994
WALL STREET ACCESS
August 24, 1987 - January 22, 1994
AMERICAN UNITED LIFE INSURANCE COMPANY
July 2, 1984 - September 30, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 7, 1983 - October 6, 1993
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
March 22, 1983 - December 19, 1983
INVESTMENT DEALERS INC.
Primary Firm SEC Registration
LEFAVI WEALTH MANAGEMENT
CRD#: 104961 / SEC#: 801-73029
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
LEFAVI WEALTH MANAGEMENT
CRD#: 104961 / SEC#: 801-73029
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,565 |
| AUM (Assets Under Management) | $ 438,841,383 |
Red Flags
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