Dale E. Frey
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 Edward Frey was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1967. Dale had worked at 5 firms and has passed the Series 65, Series 63, Series 41, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2001 - November 20, 2001
BROOKSTREET SECURITIES CORPORATION
April 5, 1989 - October 25, 2000
D.E. FREY & COMPANY, INC.
April 11, 1988 - February 23, 1989
LEHMAN BROTHERS INC.
July 23, 1970 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
January 5, 1967 - April 11, 1988
E. F. HUTTON & COMPANY INC
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 41
Date: 10/27/1983
NYSE Allied Member ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 10/12/1959
Registered Representative ExaminationSeries 00
Date: 3/25/1970
General Securities Principal ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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