Dale R. Bonga
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 Richard Bonga was a registered financial advisor .
Dale is a previously registered financial advisor and started their career in finance in 1968. Dale had worked at 7 firms and has passed the Series 63, SIE, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1988 - January 9, 2015
ROTHSCHILD INVESTMENT LLC
March 16, 1988 - January 9, 2015
ROTHSCHILD INVESTMENT LLC
May 8, 1987 - July 27, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
October 29, 1976 - May 27, 1987
MOSELEY SECURITIES CORPORATION
April 28, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
March 23, 1976 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
September 19, 1973 - May 1, 1976
BACHE & CO INCORPORATED
April 30, 1968 - October 24, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
ROTHSCHILD INVESTMENT LLC
CRD#: 728 / SEC#: 801-7395, 8-16429
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 1
Date: 4/26/1968
Registered Representative ExaminationSeries 12
Date: 10/29/1976
NYSE Branch Manager ExaminationSeries 40
Date: 8/18/1976
Registered Principal ExaminationCurrent Firm
ROTHSCHILD INVESTMENT LLC
CRD#: 728 / SEC#: 801-7395, 8-16429
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,425 |
| AUM (Assets Under Management) | $ 2,310,915,581 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 10/13/2023 |
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.
