Dale T. Lindsey
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 Treece Lindsey MR., who also goes by Dale T Lindsey, Dale Treece Lindsey, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1991. Dale had worked at 9 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2013 - November 19, 2013
SOURCE CAPITAL GROUP, INC.
March 19, 2012 - July 25, 2012
GUARDIAN DIRECT ENERGY PROGRAMS, INC.
June 29, 2010 - June 10, 2011
THE PATRIOT GROUP SECURITIES
November 5, 2008 - June 28, 2010
REEF SECURITIES, INC.
November 8, 2006 - November 14, 2006
LONE STAR SECURITIES, INC.
October 12, 1995 - July 10, 2001
REEF SECURITIES, INC.
January 21, 1994 - October 16, 1995
TEXAKOMA FINANCIAL, INC.
May 6, 1993 - August 28, 1993
WELLINGTON ASHFORD CAPITAL, INC.
August 19, 1992 - January 4, 1993
WELLINGTON ASHFORD CAPITAL, INC.
April 30, 1991 - August 12, 1992
TOUCHSTONE CAPITAL CORPORATION
March 22, 1991 - April 11, 1991
KINLAW SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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