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DS

Dale R. Siens

Some features on this profile are disabled
CRD#: 2718376
DS

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 Roy Siens was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1996. Dale had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 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

September 8, 2006 - September 29, 2006

UNITED HERITAGE FINANCIAL SERVICES, INC.

BD
CRD#: 35316
KLAMATH FALLS, OR
Past

December 13, 2002 - August 30, 2006

UNITED HERITAGE FINANCIAL SERVICES, INC.

BD
CRD#: 35316
KLAMATH FALLS, OR
Past

March 1, 2001 - November 25, 2002

RUSHMORE SECURITIES CORPORATION

BD
CRD#: 8392
DALLAS, TX
Past

April 13, 1999 - January 31, 2001

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

January 29, 1999 - April 13, 1999

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

February 3, 1997 - December 31, 1998

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

March 4, 1996 - December 31, 1996

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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
IAR
Series 65
Date: 8/26/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/1/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/1/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/28/1998
Investment Company Products/Variable Contracts Principal Examination

Current Firm

UH
UNITED HERITAGE FINANCIAL SERVICES, INC.
UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316 / SEC#: , 8-46649

BD
Terminated by SEC on 07/17/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Idaho since 09/30/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
UNITED HERITAGE FINANCIAL GROUPOWNER
BAKER, GEOFFREY MORGANGENERAL COUNSEL/VICE PRESIDENT4760890
DELANA, KENT MICHAELGENERAL SECURITIES PRINCIPAL CHEIF COMPLIANCE OFFICER/DIRECTOR2647282
HALL, RICHARD EDGARCHAIRMAN
JOHNSON, DENNIS LANEVICE PRESIDENT/DIRECTOR2418282
SMITH, RODNEY LVICE CHAIRMAN
WINDERL, JACK JAYPRESIDENT/DIRECTOR2545413

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

UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316

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