Dale H. Snyder
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 H Snyder was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1984. Dale had worked at 9 firms and has passed the Series 63, Series 3, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1996 - January 26, 2001
BROOKSTREET SECURITIES CORPORATION
September 9, 1994 - June 18, 1996
TDI, INCORPORATED
June 6, 1994 - December 30, 1994
THE TRADING DESK, INC.
August 3, 1993 - May 3, 1994
MORGAN STANLEY DW INC.
January 28, 1992 - January 15, 1993
STEPHENS
September 10, 1990 - January 27, 1992
THE TRADING DESK, INC.
December 8, 1988 - August 9, 1990
ANGLO-AMERICAN INVESTOR SERVICES CORP.
March 4, 1988 - December 16, 1988
VINING-SPARKS SECURITIES, INC.
April 10, 1987 - February 27, 1988
BOWMAN & COMPANY INCORPORATED
August 30, 1984 - March 10, 1987
DELTA FINANCIAL INVESTMENT CORPORATION
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
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
