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DF

Dale B. Foard

INDEPENDENCE SQUARE HOLDINGS
Baltimore, MD 21210
Some features on this profile are disabled
CRD#: 1884326
DF

Professional summary

Dale Brian Foard is a registered financial advisor currently at INDEPENDENCE SQUARE HOLDINGS, LLC located in Baltimore, Maryland.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Dale has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 7, Series 24 and Series 53 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 Brian Foard's CRS (Customer Relationship Summary).
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

December 23, 2025 - Present

INDEPENDENCE SQUARE HOLDINGS, LLC

Office #1: 2 Village Square Suite 255, Baltimore, MD 21210
RIA
CRD#: 300139
Baltimore, MD
Past

November 23, 2021 - December 31, 2025

WPG FINANCIAL GROUP, LLC

RIA
CRD#: 291708
BALTIMORE, MD
Past

July 31, 2019 - June 25, 2021

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
BALTIMORE, MD
Past

October 19, 2015 - August 1, 2019

CFG CAPITAL MARKETS, LLC

BD
CRD#: 39468
BALTIMORE, MD
Past

May 15, 2014 - September 16, 2015

PIPER SANDLER & CO.

BD
CRD#: 665
BALTIMORE, MD
Past

August 5, 2008 - April 29, 2014

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

March 27, 2007 - July 8, 2008

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

February 20, 2007 - March 22, 2007

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

November 16, 2005 - December 12, 2006

RYAN BECK & CO.

BD
CRD#: 3248
BALTIMORE, MD
Past

December 22, 1999 - September 15, 2003

HOWARD WEIL INCORPORATED

BD
CRD#: 30958
NEW ORLEANS, LA
Past

May 1, 1995 - November 2, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IS
INDEPENDENCE SQUARE HOLDINGS, LLC
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS

CRD#: 300139 / SEC#: 801-116750

RIA
Registered Investment Advisory firm - (6/7/2019 Approved)

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
Maryland
(12/23/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/27/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/17/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/17/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/17/2022
Municipal Securities Principal Examination

Current Firm

IS
INDEPENDENCE SQUARE HOLDINGS, LLC
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS

CRD#: 300139 / SEC#: 801-116750

RIA
Registered Investment Advisory firm - (6/7/2019 Approved)
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Contact information

Main Address
150 South Warner Road Suite 300, King Of Prussia, PA 19406
Mailing Address
Phone number
(610) 520-1500
Established
Firm type
Fiscal year end
# of Employees
37

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/31/2025)
FORM ADV PART 2A FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts3,985
AUM (Assets Under Management)$ 1,488,010,409

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.

Company Information

INDEPENDENCE SQUARE HOLDINGS, LLC

CRD#: 300139Baltimore, MD 21210

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