Dale Self

MAIA WEALTH

INDIANAPOLIS, IN 46240

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CRD#: 2782162

Professional summary

Dale Self, who also goes by Dale L Self, Dale Leary Self, is a registered financial advisor currently at MAIA WEALTH located in Indianapolis, Indiana.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Dale has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dale L Self | Dale Leary Self

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.

INSURANCE AGENT. VARIOUS CARRIERS. NOT INVESTMENT RELATED. TRADING HOURS TIME SPENT= 15 HOURS PER MONTH Managing Member of F1rst Wellness LLC, with future plans to conduct business in the health and wellness space through this entity. Not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Self's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 6, 2023 - Present

MAIA WEALTH

Office #1: 3950 Priority Way South Drive Suite 105, Indianapolis, IN 46240

RIA

CRD#: 292817

INDIANAPOLIS, IN

Past

October 1, 2012 - January 8, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

INDIANAPOLIS, IN

Past

October 1, 2012 - January 8, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

INDIANAPOLIS, IN

Past

August 7, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

INDIANAPOLIS, IN

Past

August 6, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

INDIANAPOLIS, IN

Past

August 8, 2011 - July 31, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

INDIANAPOLIS, IN

Past

August 8, 2011 - July 31, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

INDIANAPOLIS, IN

Past

August 5, 2011 - July 31, 2012

TD AMERITRADE, INC.

CRD#: 7870

INDIANAPOLIS, IN

Past

January 28, 2010 - August 2, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

FISHERS, IN

Past

January 25, 2010 - August 2, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

FISHERS, IN

Past

March 5, 2003 - November 17, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

FISHERS (INDIANAPOLIS), IN

Past

December 19, 1997 - November 17, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

FISHERS (INDIANAPOLIS), IN

Past

June 12, 1997 - November 14, 1997

TAYLOR STUART FINANCIAL, INC.

CRD#: 39025

GREAT NECK, NY

Past

December 19, 1996 - May 13, 1997

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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".

MAIA WEALTH

CRD#: 292817 / SEC#: 801-120452

RIA

Registered Investment Advisory firm - (3/5/2021 Approved)

California

Registered Investment Advisory firm - (6/6/2021 Terminated)

Colorado

Registered Investment Advisory firm - (5/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2021 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/6/2023)

IAR

Texas
(1/6/2023)

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: 3/3/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/20/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/10/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

MAIA WEALTH

CRD#: 292817 / SEC#: 801-120452

RIA

Registered Investment Advisory firm - (3/5/2021 Approved)

California

Registered Investment Advisory firm - (6/6/2021 Terminated)

Colorado

Registered Investment Advisory firm - (5/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2021 Terminated)

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Contact information

Main Address

1401 17th Street Suite 850, Denver, CO 80202

Mailing Address

Phone number

(720) 644-8803

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/12/2025)

Regulatory assets under management

Total Number of Accounts	2,445
AUM (Assets Under Management)	$ 704,344,811

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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Advisor Monitoring

Firm Stability Insights

Dale Self

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Self's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TAYLOR STUART FINANCIAL, INC.

ROYCE INVESTMENT GROUP, INC.

Primary Firm SEC Registration

MAIA WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2003

Series 63

Date: 1/3/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1996

Series 10

Date: 3/20/2001

Series 9

Date: 1/10/2001

Current Firm

MAIA WEALTH

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIA WEALTH

TRUST BUT VERIFY

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