Russell E. 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.
Russell Ellis Dale, who also goes by Russell Dale, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1983. Russell had worked at 4 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2013 - May 8, 2017
STRATEGIC FINANCIAL MANAGEMENT, INC.
July 8, 1991 - December 31, 2001
MUTUAL SERVICE CORPORATION
August 10, 1987 - July 15, 1991
CITIGROUP GLOBAL MARKETS INC.
June 24, 1983 - August 5, 1987
UBS FINANCIAL SERVICES 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
Series 5
Date: 8/24/1988
Interest Rate Options ExaminationSeries 8
Date: 10/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STRATEGIC FINANCIAL MANAGEMENT, INC.
CRD#: 148076 / SEC#: 801-69609
Contact information
Red Flags
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