Dale K. Dahmen
Professional summary
Dale Kenneth Dahmen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dale is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Dale had worked at 4 firms, which includes THE O.N. EQUITY SALES COMPANY, 1717 CAPITAL MANAGEMENT COMPANY, SIGNATOR FINANCIAL SERVICES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2003 - October 2, 2013
THE O.N. EQUITY SALES COMPANY
February 24, 1998 - January 31, 2003
1717 CAPITAL MANAGEMENT COMPANY
February 5, 1998 - February 25, 1998
SIGNATOR FINANCIAL SERVICES, INC.
May 16, 1997 - February 9, 1998
AMERICAN GENERAL EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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