Dale R. Haithcock
Professional summary
Dale R. Haithcock, who also goes by Dale Haithcock, is a registered financial advisor currently at AUXI ASSET MANAGEMENT, LLC located in Danville, California.
Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Dale has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dale R. Haithcock's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2006 - Present
AUXI ASSET MANAGEMENT, LLC
Office #1: 402 Railroad Ave Suite 201, Danville, CA 94526November 6, 2020 - March 7, 2022
TRIAD ADVISORS LLC
May 25, 2012 - November 11, 2020
MUTUAL SECURITIES, INC.
November 8, 2011 - June 7, 2012
STONE & YOUNGBERG LLC
November 3, 2011 - June 7, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 3, 2011 - June 7, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 24, 2006 - December 24, 2008
S & Y ASSET MANAGEMENT LLC
March 11, 2005 - December 31, 2005
S & Y ASSET MANAGEMENT LLC
February 9, 2005 - August 30, 2006
S & Y ASSET MANAGEMENT LLC
September 10, 2004 - November 3, 2011
STONE & YOUNGBERG LLC
September 10, 2004 - November 3, 2011
STONE & YOUNGBERG LLC
November 21, 2002 - October 1, 2004
QUICK & REILLY, INC.
July 30, 2002 - October 1, 2004
QUICK & REILLY, INC.
November 23, 1998 - August 15, 2002
ROBERTSON STEPHENS, INC.
November 18, 1998 - August 15, 2002
ROBERTSON STEPHENS, INC.
March 14, 1996 - December 7, 1998
ABN AMRO SECURITIES LLC
September 20, 1994 - January 26, 1996
MONTGOMERY SECURITIES
November 28, 1986 - March 24, 1994
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/3/2006)
Exams
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationSeries 8
Date: 3/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AUXI ASSET MANAGEMENT, LLC
CRD#: 135421 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 99,400,000 |
Red Flags
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Company Information
AUXI ASSET MANAGEMENT, LLC
CRD#: 135421Danville, CA 94526TRUST BUT VERIFY
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