Dale A. Thomas
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 Anthony Thomas was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1994. Dale had worked at 5 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2014 - July 14, 2014
LITTLE RIVER CAPITAL, LLC
November 5, 2010 - February 2, 2012
CITIGROUP GLOBAL MARKETS INC.
November 5, 2010 - February 2, 2012
CITIGROUP GLOBAL MARKETS INC.
September 28, 2009 - November 15, 2010
ALLIANCEBERNSTEIN L.P.
September 11, 2009 - November 15, 2010
SANFORD C. BERNSTEIN & CO., LLC
March 7, 1994 - June 27, 1994
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LITTLE RIVER CAPITAL, LLC
CRD#: 118917 / SEC#: , 8-53698
Contact information
FINRA licenses (8 States and Territories)
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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