AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DK

Dale W. Kindregan

OMNICAP
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 4405307
DK

Professional summary

Dale Warner Kindregan, who also goes by Dale W Kindregan, Dale Kindregan, is a registered financial professional currently at OMNICAP, LLC located in New York, New York.

Dale is registered as a RR (Registered Representative) and started their career in finance in 2001. Dale has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dale W Kindregan | Dale Kindregan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dale Warner Kindregan'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®
None

Experience

Current

April 3, 2025 - Present

OMNICAP, LLC

Office #1: 42 Broadway, Suite 12-129, New York, NY 10004
BD
CRD#: 137353
NEW YORK, NY
Past

January 27, 2017 - October 23, 2024

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

January 16, 2016 - January 13, 2017

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
NEW YORK, NY
Past

July 10, 2012 - April 13, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

February 10, 2006 - November 10, 2011

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

July 15, 2004 - December 20, 2005

RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS

BD
CRD#: 37550
TACOMA, WA
Past

September 24, 2001 - August 13, 2004

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/11/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/4/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 3/8/2013
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

OL
OMNICAP, LLC
OMNICAP, LLC

CRD#: 137353 / SEC#: , 8-67082

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
99 Jane Street Suite 2l, New York, NY 10014
Mailing Address
99 Jane Street Suite 2l, New York, NY 10014
Phone number
(917) 498-2318
Established
Delaware since 04/11/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SNIDER, ROBERT LOUIS JRMANAGING MEMBER CEO/PRES., CCO1619019
OBSBAUM, FREDRIC MICHAELFINOP1160811

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.

Company Information

OMNICAP, LLC

CRD#: 137353New York, NY 10004

TRUST BUT VERIFY

Monitor Dale Kindregan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.