Dale J. Engelhardt
Professional summary
Dale Jay Engelhardt was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dale is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Dale had worked at 7 firms, which includes IRVINE SECURITIES INC., FOX & COMPANY INVESTMENTS INC., FINANCE 500 INC., ROBERT SCOTT SECURITIES INC., A. G. EDWARDS & SONS INC., H.J. MEYERS & CO. INC., LAM WAGNER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - February 22, 1999
IRVINE SECURITIES, INC.
May 13, 1997 - July 2, 1998
IRVINE SECURITIES, INC.
November 13, 1995 - September 17, 1996
FOX & COMPANY INVESTMENTS INC.
March 31, 1995 - November 9, 1995
FINANCE 500, INC.
March 1, 1995 - May 18, 1995
ROBERT SCOTT SECURITIES, INC.
October 17, 1994 - February 9, 1995
A. G. EDWARDS & SONS, INC.
February 24, 1994 - September 9, 1994
H.J. MEYERS & CO., INC.
September 30, 1993 - February 24, 1994
LAM WAGNER, INC.
August 17, 1992 - September 21, 1993
H.J. MEYERS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
IRVINE SECURITIES, INC.
CRD#: 34796 / SEC#: , 8-46425
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
Red Flags
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