Dale I. Favors
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 Ingram Favors, who also goes by Dale I Favors, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1994. Dale had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2017 - November 14, 2018
REDI GLOBAL TECHNOLOGIES LLC
December 1, 2014 - July 25, 2017
CASTLEOAK SECURITIES, LP
September 29, 2009 - September 3, 2014
PIPER SANDLER & CO.
February 29, 2008 - June 26, 2009
RBC CAPITAL MARKETS, LLC
February 21, 2008 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
January 14, 2008 - February 11, 2008
OPPENHEIMER & CO. INC.
February 14, 2007 - January 14, 2008
CIBC WORLD MARKETS CORP.
April 28, 2003 - February 9, 2007
INTERACTIVE BROKERS CORP.
February 23, 2001 - March 28, 2003
BLOOMBERG TRADEBOOK LLC
August 25, 1995 - November 1, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 1994 - August 9, 1995
MORGAN STANLEY & CO. LLC
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 55
Date: 1/9/2009
Limited Representative-Equity Trader ExamCurrent Firm
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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.
