Michael T. Dalton
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.
Michael Thomas Dalton JR, who also goes by Michael Thomas Dalton, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2018 - December 31, 2020
HIGH SIERRA WEALTH MANAGEMENT
March 19, 2015 - November 9, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 19, 2015 - November 9, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 23, 2009 - January 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 16, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 7, 1997 - October 9, 1998
BA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HIGH SIERRA WEALTH MANAGEMENT
CRD#: 284195 / SEC#:
Contact information
Red Flags
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