John M. Dale
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.
John Michael Dale was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 1989 - April 13, 2021
WILLIAM C. BURNSIDE & COMPANY, INC.
November 22, 1988 - December 21, 1988
SPRINGER INVESTMENT & SECURITIES CO., INC.
April 5, 1988 - January 17, 1989
WILLIAM C. BURNSIDE & COMPANY, INC.
October 21, 1985 - December 12, 1987
TRANSACTION SERVICES INC.
April 10, 1984 - December 21, 1985
LASALLE ST SECURITIES, L.L.C.
October 20, 1983 - October 15, 1985
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WILLIAM C. BURNSIDE & COMPANY, INC.
CRD#: 6400 / SEC#: , 8-21242
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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.
