DS
Dale Self
MAIA WEALTH
INDIANAPOLIS, IN 46240
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CRD#: 2782162
DS
Dale SelfMAIA WEALTH
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 and SIMPLICITY 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 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Always Fiduciary
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.
Dale Self; investment related; Investment Advisor Representative/Registered Insurance Agent; 9365 Counselor Row, Suite 215, Indianapolis IN 46240; 01/2023; Advisory Services/Insurance Sales; approximate number of hours/month you devote to the other business 15 hours per month during trading hours; Provides wealth advisory services and engages in insurance sales. Maia Wealth; investment related; Advisory services/insurance sales; 9365 Counselor Row, Suite 215, Indianapolis IN 46240; 01/2023; Advisory Services/Insurance Sales; approximate number of hours/month you devote to the other business 15 hours per month during trading hours; Provides wealth advisory services and engages in insurance sales. F1rst Wellness LLC; not investment related; Managing Member; 11439 Golden Bear Way Noblesville IN 46060; 01/2024; approximate number of hours/month you devote to the other business 160during trading hours; with future plans to conduct business in the health and wellness space through this entity.
CRS (Client Relationship Summary) - RIA
Click below to view Dale Self's 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®
NoneExperience
Current
January 6, 2023 - Present
MAIA WEALTH
Office #1: 3950 Priority Way South Drive Suite 105, Indianapolis, IN 46240RIA
CRD#: 292817
INDIANAPOLIS, IN
Current
October 6, 2026 - Present
SIMPLICITY WEALTH
Office #1: 9365 Counselors Row Suite 215, Indianapolis, IN 46240RIA
CRD#: 300572
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
BD
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.
BD
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.
BD
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.
BD
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.
BD
CRD#: 5393
FISHERS (INDIANAPOLIS), IN
Past
June 12, 1997 - November 14, 1997
TAYLOR STUART FINANCIAL, INC.
BD
CRD#: 39025
GREAT NECK, NY
Past
December 19, 1996 - May 13, 1997
ROYCE INVESTMENT GROUP, INC.
BD
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".
SIMPLICITY WEALTH
1ST CHOICE WEALTH | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UNIVERSAL FINANCIAL CONSULTANTS (UFC) | UFC WEALTH | TURNSTART WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | TRIUMPH PLANNING SOLUTIONS | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | TAX SMART INVESTING AND PLANNING | SUMMIT WEALTH DESIGNS | STRATEGIC WEALTH PLANNING GROUP | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SSTX WEALTH | SMITHS FINANCIAL SOLUTIONS | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SIMPLICITY GUARDIAN | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SBC FINANCIAL | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL NETWORK INC. | SACHS FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RIGHTWAY INVESTMENTS | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIREMENT KEY | RETIREMENT INCOME SPECIALISTS | RETIRE PRO | RETIRE ESTATE PLAN | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PROSPERITY AND LEGACY WEALTH MANAGEMENT | PROFESSIONAL PLANNING SERVICES | PRINCIPLED INSURANCE AGENCY | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS FINANCIAL GROUP | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | NMS PORTFOLIO | NEXT PHASE MONEY MANAGEMENT | NCI WEALTH MANAGEMENT | MONETA WEALTH MANAGEMENT | MODERN EDGE CAPITAL | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MEMORIAL ASSET PROTECTION PLAN | MCGLINN FINANCIAL SERVICES | MAP ADVISORY | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | MACMUNN FINANCIAL MANGEMENT | M S WEALTH MANAGEMENT | LRM RETIREMENT | LIQUIDITY PARTNERS | LEGACY PRIVATE WEALTH | LARKINS WEALTH | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JULIET CARDONA FINANCIAL | JCHRISTOPHER ADVISORS | J MARTIN FINANCIAL SERVICES | INTEGRATIVE WEALTH | INSIGHT COLLEGE AND FINANCIAL SOLUTIONS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HURT AND ASSOCIATES | HOFFMAN GRIFFITH WEALTH PLANNING | HINES-WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEART FINANCIAL GROUP | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | HARBOUR VIEW ADVISORS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | GENERATIONAL WEALTH TEAM | FWA WEALTH ADVISORS | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUITS ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | FAIRWAY FINANCIAL PARTNERS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | ESTATE AND RETIREMENT RESOURCES | ERISMAN WEALTH MANAGEMENT | EPERSONAL FINANCIAL | EMPOWERED WEALTH MANAGEMENT | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DEVELOP YOUR COLLEGE GAME PLAN | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CLARK WEALTH, LLC | CHEVALIER WEALTH AND ASSOCIATES | CHART WELLS FINANCIAL | CARUTHER'S WEALTH SOLUTIONS | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BLUEPOINT WEALTH MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BENEFIT RFP | BENEFICIAL WEALTH | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | ATARAXIS FINANCIAL PLANNING | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS | ABRAMS INC | ABOOD WEALTH MANAGEMENT...
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 Approved)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)
IAR
Texas(10/6/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
PR
Series 10
Passed: 3/20/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
PR
Series 9
Passed: 1/10/2001
General Securities Sales Supervisor - Options Module Examination
Current Firm
SIMPLICITY WEALTH
1ST CHOICE WEALTH | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UNIVERSAL FINANCIAL CONSULTANTS (UFC) | UFC WEALTH | TURNSTART WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | TRIUMPH PLANNING SOLUTIONS | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | TAX SMART INVESTING AND PLANNING | SUMMIT WEALTH DESIGNS | STRATEGIC WEALTH PLANNING GROUP | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SSTX WEALTH | SMITHS FINANCIAL SOLUTIONS | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SIMPLICITY GUARDIAN | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SBC FINANCIAL | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL NETWORK INC. | SACHS FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RIGHTWAY INVESTMENTS | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIREMENT KEY | RETIREMENT INCOME SPECIALISTS | RETIRE PRO | RETIRE ESTATE PLAN | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PROSPERITY AND LEGACY WEALTH MANAGEMENT | PROFESSIONAL PLANNING SERVICES | PRINCIPLED INSURANCE AGENCY | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS FINANCIAL GROUP | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | NMS PORTFOLIO | NEXT PHASE MONEY MANAGEMENT | NCI WEALTH MANAGEMENT | MONETA WEALTH MANAGEMENT | MODERN EDGE CAPITAL | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MEMORIAL ASSET PROTECTION PLAN | MCGLINN FINANCIAL SERVICES | MAP ADVISORY | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | MACMUNN FINANCIAL MANGEMENT | M S WEALTH MANAGEMENT | LRM RETIREMENT | LIQUIDITY PARTNERS | LEGACY PRIVATE WEALTH | LARKINS WEALTH | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JULIET CARDONA FINANCIAL | JCHRISTOPHER ADVISORS | J MARTIN FINANCIAL SERVICES | INTEGRATIVE WEALTH | INSIGHT COLLEGE AND FINANCIAL SOLUTIONS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HURT AND ASSOCIATES | HOFFMAN GRIFFITH WEALTH PLANNING | HINES-WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEART FINANCIAL GROUP | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | HARBOUR VIEW ADVISORS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | GENERATIONAL WEALTH TEAM | FWA WEALTH ADVISORS | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUITS ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | FAIRWAY FINANCIAL PARTNERS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | ESTATE AND RETIREMENT RESOURCES | ERISMAN WEALTH MANAGEMENT | EPERSONAL FINANCIAL | EMPOWERED WEALTH MANAGEMENT | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DEVELOP YOUR COLLEGE GAME PLAN | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CLARK WEALTH, LLC | CHEVALIER WEALTH AND ASSOCIATES | CHART WELLS FINANCIAL | CARUTHER'S WEALTH SOLUTIONS | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BLUEPOINT WEALTH MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BENEFIT RFP | BENEFICIAL WEALTH | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | ATARAXIS FINANCIAL PLANNING | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS | ABRAMS INC | ABOOD WEALTH MANAGEMENT...
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 Approved)Loading...
Contact information
Main Address
475 Springfield Ave. Suite #1, Summit, NJ 07901
Mailing Address
Phone number
(844) 220-8326
Established
Firm type
Fiscal year end
# of Employees
424
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,045 |
| AUM (Assets Under Management) | $ 4,271,040,743 |
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.
