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DB

Dale M. Breault

CAPITAL ANALYSTS
Feeding Hills, MA 01030
Some features on this profile are disabled
CRD#: 2131440
DB

Professional summary

Dale Marie Breault, who also goes by Dale Marie Georgeady, is a registered financial advisor currently at CAPITAL ANALYSTS located in Feeding Hills, Massachusetts and LINCOLN INVESTMENT located in Feeding Hills, Massachusetts.

Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Dale has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dale Marie Georgeady

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.
SAINT JOHN THE EVANGELIST POSITION: I am a member of the Finance Counsel. NATURE: Catholic Church INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/09/2021 ADDRESS: 833 Main Street, Agawam MA 01001, United States DESCRIPTION: We review the Church monthly balance sheet, looking at where our church's expenses vs charitable giving line up.Look for ways to cut expenses.Approve expense outside of normal operation costs.Encourage parish giving. Communicate how we as a parish are doing in all aspects. MISSION DRIVEN CATHOLIC POSITION: Board Member NATURE: Non Profit- Empowering Catholic Educators INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2024 ADDRESS: 98 Hilda Circle, Bloomingdale OH 43910, United States DESCRIPTION: Advance the Mission of the Organization, Preside at board meetings, Review Audits & Financials

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Marie Breault'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

July 24, 2019 - Present

CAPITAL ANALYSTS

Office #1: 1325 Springfield Street, Feeding Hills, MA 01030
RIA
CRD#: 162200
Feeding Hills, MA
Current

April 29, 2013 - Present

LINCOLN INVESTMENT

Office #1: 1325 Springfield Street Suite 15a, Feeding Hills, MA 01030
RIA
BD
CRD#: 519
Feeding Hills, MA
Past

February 9, 2005 - April 2, 2013

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

February 8, 2001 - November 12, 2004

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

July 11, 2000 - September 5, 2000

ING FUNDS DISTRIBUTOR, INC.

BD
CRD#: 36461
WILMINGTON, DE
Past

December 15, 1999 - December 11, 2000

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

May 6, 1998 - June 15, 1999

AELTUS CAPITAL, INC

BD
CRD#: 24928
HARTFORD, CT
Past

June 23, 1994 - March 12, 1998

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

February 28, 1994 - May 25, 1994

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

February 9, 1993 - March 4, 1994

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

April 2, 1991 - January 22, 1993

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA

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".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA
Registered Investment Advisory firm - (4/17/2012 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/29/2013)
RR
Florida
(1/3/2023)
RR
Kentucky
(5/21/2025)
RR
Massachusetts
(4/29/2013)
IAR
Massachusetts
(7/24/2019)
RR
Minnesota
(1/3/2022)
RR
New York
(1/3/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/16/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/1/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2003
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA
Registered Investment Advisory firm - (4/17/2012 Approved)
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Contact information

Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739

SEC notice filing (52 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

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)
CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts26,578
AUM (Assets Under Management)$ 8,713,202,466

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/28/2024
Cover Page
Report
09/27/2023
Cover Page
Report
03/29/2023
Cover Page
Report

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

CAPITAL ANALYSTS

CRD#: 162200Feeding Hills, MA 01030

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