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DT

Dale G. Tripp

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CRD#: 2666634
DT

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 Gregory Tripp was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1995. Dale had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 2, 2020 - August 11, 2020

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

January 29, 2019 - December 2, 2019

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
NEW ORLEANS, LA
Past

May 25, 2017 - June 12, 2019

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
MCLEAN, VA
Past

November 11, 2011 - May 10, 2017

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

May 2, 2006 - November 11, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA
Past

July 15, 2005 - May 2, 2006

AT INVESTOR SERVICES, INC.

BD
CRD#: 47837
ATLANTA, GA
Past

April 25, 2000 - July 15, 2005

GPC SECURITIES, INC.

BD
CRD#: 14007
ATLANTA, GA
Past

October 11, 1995 - June 1, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/9/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/16/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/29/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/20/2004
General Securities Principal Examination

Current Firm

UF
USAA FINANCIAL ADVISORS, INC.
USAA FINANCIAL ADVISORS, INC.

CRD#: 129035 / SEC#: , 8-66197

BD
Terminated by SEC on 08/29/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/15/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.SHAREHOLDER
FLORES, JENNIFER MARGRETFINOP AND PRINCIPAL FINANCIAL OFFICER4175069
MUIR, JAMES DYERCHIEF COMPLIANCE OFFICER2801996

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.

Company Information

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

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