Dale P. Beals
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 Prescott Beals was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 2001. Dale had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2009 - December 20, 2021
PORTFOLIO WISDOM
November 19, 2008 - August 3, 2009
SUMNER ASSET MANAGEMENT, INC.
June 20, 2006 - October 16, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 16, 2006 - October 16, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 4, 2004 - June 16, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 28, 2003 - December 31, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 28, 2003 - June 16, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 3, 2001 - April 16, 2003
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PORTFOLIO WISDOM
CRD#: 150730 / SEC#:
Contact information
Red Flags
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