Dale E. Boyd
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 Everett Boyd was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1985. Dale had worked at 12 firms and has passed the Series 63, Series 65, Series 6, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2011 - February 1, 2012
NATIONWIDE SECURITIES, LLC
February 15, 2000 - December 3, 2002
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 9, 1999 - February 17, 2000
DIRECTED SERVICES LLC
March 9, 1998 - April 20, 1998
WELLS FARGO CLEARING SERVICES, LLC
August 26, 1997 - March 9, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
January 14, 1997 - August 13, 1997
SII INVESTMENTS, INC.
August 1, 1996 - January 21, 1997
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 12, 1996 - August 1, 1996
NATIONAL PLANNING CORPORATION
May 2, 1995 - December 31, 1995
SUNAMERICA SECURITIES, INC.
June 30, 1987 - February 21, 1995
EDWARD JONES
June 14, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 14, 1985 - July 13, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
