Daniel Kris Hale
Professional Summary
Daniel Kris Hale, who also goes by Kris Hale, is a registered financial advisor currently at CFD INVESTMENTS, INC. located in Kokomo, Indiana. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 62, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kris Hale
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
CFD INVESTMENTS, INC. | CFD SECURITIES, INC.
Contact Information
Main Address
2704 S Goyer Rd, Kokomo, IN 46902Mailing Address
P.o. Box 2244, Kokomo, IN 46904-2244Phone Number
(765) 453-9600Established
Indiana since 12/10/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | — |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
Regulatory Event
8Bond
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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.
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State Registrations and Notice Filings
(6/2/2006)
(6/2/2006)
(6/2/2006)
(6/28/2010)
(8/12/1997)
(7/22/1998)
(8/11/2014)
(7/16/2018)
(6/2/2006)
(6/2/2006)
(1/6/2026)
(2/20/2025)
(4/4/2018)
(4/27/2023)
(2/16/2026)
(4/20/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jul 1997SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Kris Hale's CRS (Customer Relationship Summary).
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