Andrea J. Dalton

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CRD#: 2603852

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.

Andrea Jean Dalton, who also goes by Andrea Jean Dalton Lee, was a registered financial professional .

Andrea is a previously registered financial professional and started their career in finance in 1997. Andrea had worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrea Jean Dalton Lee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 10, 2022 - November 6, 2023

NIA IMPACT CAPITAL

RIA

CRD#: 286587

Mercer Island, WA

Past

June 11, 2019 - July 27, 2021

REVELIO, LLC

RIA

CRD#: 301189

WILTON, CT

Past

July 27, 2001 - November 16, 2005

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

August 30, 1997 - January 7, 2000

PALISADE CAPITAL SECURITIES, L.L.C.

CRD#: 37579

FORT LEE, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NIA IMPACT CAPITAL

NIA COMMUNITY INVESTMENTS, LLC | NIA IMPACT CAPITAL | NIA IMPACT ADVISORS, LLC | NIA GLOBAL SOLUTIONS

CRD#: 286587 / SEC#: 801-117120

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (10/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (9/17/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/4/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1995

General Securities Representative Examination

Current Firm

NIA IMPACT CAPITAL

NIA COMMUNITY INVESTMENTS, LLC | NIA IMPACT CAPITAL | NIA IMPACT ADVISORS, LLC | NIA GLOBAL SOLUTIONS

CRD#: 286587 / SEC#: 801-117120

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (10/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (9/17/2019 Terminated)

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Contact information

Main Address

Berkeley, CA

Mailing Address

4900 Shattuck Ave #3648, Oakland, CA 94609

Phone number

(510) 319-9221

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NIA IMPACT CAPITAL FORM ADV PART 2A 3.31.25 (8/12/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 525,668,520

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.

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Andrea J. Dalton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NIA IMPACT CAPITAL

REVELIO, LLC

QUASAR DISTRIBUTORS, LLC

PALISADE CAPITAL SECURITIES, L.L.C.

Primary Firm SEC Registration

NIA IMPACT CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/1998

Series 7

Date: 11/21/1995

Current Firm

NIA IMPACT CAPITAL

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NIA IMPACT CAPITAL

TRUST BUT VERIFY

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