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Dale E. Miller

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CRD#: 1984513
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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 Emery Miller was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1989. Dale had worked at 11 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 26, 2010 - July 5, 2018

DAKOTA WEALTH MANAGEMENT, LLC

RIA
CRD#: 153354
WATERTOWN, SD
Past

January 4, 2010 - December 31, 2012

GRADIENT SECURITIES, LLC

BD
CRD#: 127701
WATERTOWN, SD
Past

October 7, 2008 - December 31, 2009

USA FINANCIAL SECURITIES LLC

RIA
CRD#: 103857
WATERTOWN, SD
Past

October 3, 2008 - December 31, 2009

USA FINANCIAL SECURITIES LLC

BD
CRD#: 103857
WATERTOWN, SD
Past

February 14, 2007 - October 7, 2008

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA
CRD#: 36451
WATERTOWN, SD
Past

February 14, 2007 - October 7, 2008

MM ASCEND LIFE INVESTOR SERVICES, LLC

BD
CRD#: 36451
WATERTOWN, SD
Past

May 11, 2004 - February 13, 2007

LEGEND ADVISORY, LLC

RIA
CRD#: 104761
WATERTOWN, SD
Past

April 19, 2004 - February 13, 2007

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
WATERTOWN, SD
Past

February 5, 2004 - April 23, 2004

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
INDIANAPOLIS, IN
Past

January 6, 2003 - April 23, 2004

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

November 1, 1999 - December 17, 2002

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
WATERTOWN, SD
Past

August 3, 1995 - December 17, 2002

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

August 27, 1993 - July 11, 1995

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

September 13, 1989 - July 2, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

September 13, 1989 - July 2, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/10/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/11/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DW
DAKOTA WEALTH MANAGEMENT, LLC
DAKOTA WEALTH MANAGEMENT, LLC

CRD#: 153354 / SEC#:

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Contact information

Main Address
14 E. Kemp Avenue, Watertown, SD 57201
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

DAKOTA WEALTH MANAGEMENT, LLC

CRD#: 153354

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