Dale A. Workman

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CRD#: 1271967

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 Albert Workman was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1984. Dale had worked at 12 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 12, 2016 - September 1, 2020

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

Rutherfordton, NC

Past

June 1, 2015 - December 31, 2015

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

PROVIDENCE, NC

Past

February 11, 2010 - July 15, 2015

HBW ADVISORY SERVICES LLC

RIA

CRD#: 143665

SIMI VALLEY, CA

Past

January 25, 2006 - December 31, 2010

HBW SECURITIES LLC

CRD#: 136959

PROVIDENCE, NC

Past

October 31, 2003 - December 31, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

HOUSTON, TX

Past

August 28, 2002 - October 31, 2003

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

February 19, 2002 - September 9, 2002

PARKLAND SECURITIES, LLC

CRD#: 115368

ANN ARBOR, MI

Past

January 1, 2002 - February 13, 2002

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

February 4, 2000 - January 1, 2002

IAC SECURITIES, INC.

CRD#: 14081

TINLEY PARK, IL

Past

August 15, 1997 - January 13, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

April 21, 1993 - December 31, 1996

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

April 26, 1990 - October 15, 1992

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

June 15, 1984 - January 5, 1990

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/22/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/15/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/14/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/10/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

1372 Peachtree Street Ne, Atlanta, GA 30309

Mailing Address

Phone number

+1 (855) 326-7427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN ADVISORS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,207
AUM (Assets Under Management)	$ 501,113,212

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.

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Advisor Monitoring

Firm Stability Insights

Dale A. Workman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

HBW ADVISORY SERVICES LLC

HBW SECURITIES LLC

AMERICAN GENERAL SECURITIES INCORPORATED

MM ASCEND LIFE INVESTOR SERVICES, LLC

PARKLAND SECURITIES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

IAC SECURITIES, INC.

WMA SECURITIES, INC.

OSAIC FS, INC.

NORTH AMERICAN MANAGEMENT, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2009

Series 63

Date: 6/15/1984

Series 6

Date: 6/14/1984

Series 26

Date: 11/10/1997

Current Firm

FIRST ADVISORS NATIONAL, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST ADVISORS NATIONAL, LLC

TRUST BUT VERIFY

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