Dale W. Martin
Professional summary
Dale Wesley Martin is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Dale is registered as a RR (Registered Representative) and started their career in finance in 1983. Dale has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dale Wesley Martin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2019 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901July 21, 2014 - July 11, 2019
UBS FINANCIAL SERVICES INC.
July 1, 2014 - July 11, 2019
UBS FINANCIAL SERVICES INC.
October 7, 2002 - June 30, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1999 - June 30, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 1997 - September 1, 1999
HORNOR, TOWNSEND & KENT, LLC
November 15, 1996 - December 12, 1997
RICHARD B. VANCE & COMPANY
May 16, 1985 - November 19, 1996
SECURIAN FINANCIAL SERVICES, INC.
October 14, 1983 - March 19, 1985
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/15/2019)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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