Daniel K. Hale
Professional summary
Daniel Kris Hale, who also goes by Kris Hale, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Kris Hale's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 1997 - Present
CFD INVESTMENTS, INC.
Office #1: 2704 S Goyer Rd, Kokomo, IN 46902State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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)
(2/20/2025)
(4/4/2018)
(4/27/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 7/18/1997
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 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 | 8 |
| Bond | 1 |
Red Flags
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