Regis A. Dale
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.
Regis Andrew Dale was a registered financial professional .
Regis is a previously registered financial professional and started their career in finance in 1997. Regis had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2021 - September 8, 2025
EUROLINK SECURITIES LLC
May 16, 2017 - March 16, 2020
HARVEST USA
March 10, 2009 - August 12, 2010
MAYBANK SECURITIES USA INC.
February 16, 2000 - March 14, 2007
UBS SECURITIES LLC
April 30, 1998 - February 3, 2000
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
August 27, 1997 - February 9, 1998
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
EUROLINK SECURITIES LLC
CRD#: 165041 / SEC#: , 8-69131
Contact information
FINRA licenses (7 States and Territories)
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.
