Dale E. Aiken
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.
Dale Edwin Aiken was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1986. Dale had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - December 13, 2018
VANN EQUITY MANAGEMENT LLC
January 5, 2004 - September 1, 2015
MSI FINANCIAL SERVICES, INC.
September 2, 1997 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 2, 1997 - September 1, 2015
MSI FINANCIAL SERVICES, INC.
January 6, 1986 - June 16, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
VANN EQUITY MANAGEMENT LLC
CRD#: 174239 / SEC#: 801-80766
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
Current Firm
VANN EQUITY MANAGEMENT LLC
CRD#: 174239 / SEC#: 801-80766
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 203,644,459 |
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.
