Dale J. Boettcher

HARMONY ASSET MANAGEMENT LLC

Tampa, FL 33609

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CRD#: 1228871

Professional summary

Dale Joseph Boettcher is a registered financial advisor currently at HARMONY ASSET MANAGEMENT LLC located in Tampa, Florida.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Dale has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ADVANCED AUTO PARTS AUTO PART DEALER DELIVER AUTO PARTS SINCE 04/2022 18HRS PER WEEK NOT INVESTMENT RELATED INSURANCE LICENSED - LIFE AND HEALTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Joseph Boettcher's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 13, 2018 - Present

HARMONY ASSET MANAGEMENT LLC

Office #1: 4600 W. Cypress St Suite 110, Tampa, FL 33609

RIA

CRD#: 116069

Tampa, FL

Past

April 24, 2018 - September 28, 2018

AMERICAN WEALTH MANAGEMENT, INC.

CRD#: 25536

Tampa, FL

Past

January 12, 2018 - June 4, 2018

HAYDEN ROYAL

RIA

CRD#: 170037

Tampa, FL

Past

October 6, 2017 - March 12, 2018

PLATINUM WEALTH PARTNERS

RIA

CRD#: 145507

TAMPA, FL

Past

February 9, 2011 - March 30, 2016

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

February 8, 2011 - March 30, 2016

MORGAN STANLEY

CRD#: 149777

TAMPA, FL

Past

April 2, 2007 - June 8, 2010

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

GULFPORT, FL

Past

April 2, 2007 - June 8, 2010

MORGAN STANLEY & CO. LLC

CRD#: 8209

DALLAS, TX

Past

January 21, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

April 18, 1996 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 1, 1995 - February 9, 1996

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

November 27, 1992 - February 1, 1995

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

June 20, 1989 - November 13, 1992

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

August 3, 1988 - June 6, 1989

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

Past

November 6, 1987 - November 15, 1988

ESSEX FINANCIAL SERVICES, INC.

CRD#: 19627

Past

July 6, 1987 - November 11, 1987

ESSEX COMPANY

CRD#: 7598

Past

May 5, 1986 - July 14, 1987

UNITED FINANCIAL INVESTMENTS, INC.

CRD#: 10712

Past

January 25, 1984 - May 7, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARMONY ASSET MANAGEMENT LLC

EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC

CRD#: 116069 / SEC#: 801-118731

RIA

Registered Investment Advisory firm - (5/15/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2020 Terminated)

Florida

Registered Investment Advisory firm - (11/11/2020 Terminated)

New York

Registered Investment Advisory firm - (11/11/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/4/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(4/13/2018)

IAR

Florida
(7/13/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/5/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/15/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

HARMONY ASSET MANAGEMENT LLC

EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC

CRD#: 116069 / SEC#: 801-118731

RIA

Registered Investment Advisory firm - (5/15/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2020 Terminated)

Florida

Registered Investment Advisory firm - (11/11/2020 Terminated)

New York

Registered Investment Advisory firm - (11/11/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/4/2006 Terminated)

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Contact information

Main Address

16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254

Mailing Address

Phone number

(480) 314-5967

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HARMONY ASSET MANAGEMENT LLC - BROCHURE (4/17/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 393,589,232

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Dale J. Boettcher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Joseph Boettcher's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN WEALTH MANAGEMENT, INC.

HAYDEN ROYAL

PLATINUM WEALTH PARTNERS

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

DWS DISTRIBUTORS, INC.

KEMPER FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

GLOBAL ATLANTIC DISTRIBUTORS, LLC

ESSEX FINANCIAL SERVICES, INC.

ESSEX COMPANY

UNITED FINANCIAL INVESTMENTS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HARMONY ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1999

Series 63

Date: 2/21/1984

SIE

Date: 9/28/2018

Series 7

Date: 1/21/1984

Series 10

Date: 4/5/2011

Series 9

Date: 2/15/2011

Current Firm

HARMONY ASSET MANAGEMENT LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARMONY ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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