Dale E. Grogan
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 Eric Grogan, who also goes by Dale Grogan, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1988. Dale had worked at 6 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 82, Series 7, Series 28 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
March 31, 2014 - November 23, 2020
M&A SECURITIES GROUP, INC.
March 29, 2013 - January 24, 2014
STILLPOINT CAPITAL, LLC
August 10, 2011 - January 25, 2021
CHARTER PRIVATE CAPITAL MANAGEMENT, LLC
May 12, 1993 - September 24, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 23, 1991 - January 19, 1993
STANLEY GROGAN INVESTMENTS, INC.
January 19, 1988 - September 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 82TO
Date: 4/8/2024
Limited Representative-Private Securities OfferingsSeries 28
Date: 5/31/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
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.
