Dale F. Wintlend
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 Frederick Wintlend was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1969. Dale had worked at 9 firms and has passed the Series 63, SIE, Series 15, Series 5, PC, Series 000, Series 1, Series 30 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 1998 - January 5, 2015
CARTER, TERRY & COMPANY, INC.
April 6, 1998 - November 13, 1998
ARGENT SECURITIES, INC.
November 12, 1993 - May 8, 1998
MORGAN STANLEY DW INC.
June 29, 1989 - November 18, 1993
UBS FINANCIAL SERVICES INC.
January 9, 1980 - July 3, 1989
THOMSON MCKINNON SECURITIES INC.
September 7, 1977 - February 7, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
July 8, 1974 - October 8, 1977
THOMSON MCKINNON SECURITIES INC.
March 18, 1974 - August 19, 1975
W. E. HUTTON & CO.
July 2, 1973 - May 22, 1974
DUPONT WALSTON, INCORPORATED
December 11, 1969 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
Primary Firm SEC Registration
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
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 15
Date: 12/15/1982
Foreign Currency Options ExaminationSeries 5
Date: 1/27/1982
Interest Rate Options ExaminationPC
Date: 1/17/1980
AMEX Put and Call ExamSeries 000
Date: 12/8/1969
General Securities Principal ExaminationSeries 1
Date: 12/8/1969
Registered Representative ExaminationCurrent Firm
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
