Dale A. Clausnitzer

GROWTH EQUITY MANAGEMENT

Broomfield, CO

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CRD#: 1720808

Professional summary

Dale Alfred Clausnitzer is a registered financial advisor currently at GROWTH EQUITY MANAGEMENT, INC. located in Broomfield, Colorado.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Dale has worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Dale Alfred Clausnitzer's CRS (Customer Relationship Summary).

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

Current

February 9, 2006 - Present

GROWTH EQUITY MANAGEMENT, INC.

RIA

CRD#: 134031

Broomfield, CO

Past

February 24, 2005 - May 3, 2006

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

Past

August 11, 1998 - February 1, 2005

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SAN DIEGO, CA

Past

April 9, 1998 - February 1, 2005

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 6, 1997 - March 5, 1998

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

January 1, 1996 - February 5, 1997

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

September 1, 1993 - January 1, 1996

COMPREHENSIVE FINANCIAL SERVICES, INC.

CRD#: 22710

Past

April 8, 1991 - September 7, 1993

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

ST. LOUIS PARK, MN

Past

August 30, 1990 - April 12, 1991

WFG SECURITIES CORPORATION

CRD#: 13169

MIDDLETON, WI

Past

August 20, 1987 - September 25, 1990

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(4/24/2017)

IAR

Minnesota
(2/7/2018)

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: 7/13/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/2004

General Securities Principal Examination

Current Firm

GROWTH EQUITY MANAGEMENT, INC.

DALE CLAUSNITZER - SOLE PROP | GROWTH EQUITY MANAGEMENT, INC.

CRD#: 134031 / SEC#:

California

Registered Investment Advisory firm - (1/3/2021 Terminated)

Colorado

Registered Investment Advisory firm - (4/21/2017 Approved)

Minnesota

Registered Investment Advisory firm - (2/1/2005 Approved)

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).

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Contact information

Main Address

Superior, CO

Mailing Address

Phone number

(760) 455-8067

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 684,803

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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Dale A. Clausnitzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Alfred Clausnitzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

AURA FINANCIAL SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

IFG NETWORK SECURITIES, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

OAKWOOD CAPITAL SECURITIES, INC.

WFG SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1998

Series 63

Date: 10/29/1987

Series 7

Date: 8/15/1987

Series 24

Date: 4/20/2004

Current Firm

GROWTH EQUITY MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GROWTH EQUITY MANAGEMENT, INC.

TRUST BUT VERIFY

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