Dale D. Rodberg
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 Daniel Rodberg was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1985. Dale had worked at 11 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7 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
October 8, 2013 - May 5, 2023
WELLS FARGO SECURITIES, LLC
February 1, 2012 - July 24, 2013
UBS SECURITIES LLC
October 20, 2009 - December 5, 2011
MF GLOBAL INC.
January 14, 2004 - October 20, 2008
COUNTRYWIDE SECURITIES CORPORATION
September 30, 2003 - January 16, 2004
LEGG MASON WOOD WALKER, INCORPORATED
May 23, 2002 - September 30, 2003
HOWARD WEIL INCORPORATED
May 20, 1996 - May 5, 1999
LEHMAN BROTHERS INC.
September 9, 1992 - May 8, 1996
ICAP SECURITIES USA LLC
February 28, 1991 - September 9, 1992
FUNDAMENTAL BROKERS
July 25, 1987 - February 28, 1991
FUNDAMENTAL BROKERS
April 23, 1985 - September 22, 1986
E. F. HUTTON & COMPANY INC
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
