Dale T. Fessler
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.
Dale Thomas Fessler was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 2005. Dale had worked at 3 firms and has passed the Series 63, Series 7 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2011 - August 19, 2013
FIRST EMPIRE SECURITIES, INC.
August 31, 2009 - February 9, 2011
BGC FINANCIAL, L.P.
October 24, 2005 - September 24, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 10/21/2005
Government Securities Representative ExaminationCurrent Firm
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
