Dale M. Pelletier
Professional summary
Dale Mark Pelletier is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.
Dale is registered as a RR (Registered Representative) and started their career in finance in 1983. Dale has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dale Mark Pelletier's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 6, 2015 - Present
PATRICK CAPITAL MARKETS, LLC
May 10, 2011 - January 30, 2015
REEF SECURITIES, INC.
June 27, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 4, 2007 - June 10, 2008
AUGUSTAR DISTRIBUTORS, INC.
April 12, 2006 - May 1, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 13, 2003 - December 31, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 30, 1999 - February 5, 2001
BLACKROCK INVESTMENTS, LLC
October 7, 1997 - January 11, 1999
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
September 18, 1995 - September 22, 1997
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
May 8, 1986 - March 27, 1995
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 23, 1983 - March 20, 1986
MORGAN STANLEY DW 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
(5/6/2015)
(5/6/2015)
Exams
FINRA
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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