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TD

Tyler M. Dale

FRONTIER SECURITIES
Corona Del Mar, CA 92625
Some features on this profile are disabled
CRD#: 4765230
TD

Professional summary

Tyler Michael Dale, CFA is a registered financial professional currently at FRONTIER SECURITIES located in Corona Del Mar, California.

Tyler is registered as a RR (Registered Representative) and started their career in finance in 2004. Tyler has worked at 6 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Tyler Michael Dale's CRS (Customer Relationship Summary).
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®
CFA

Chartered Financial Analyst

Experience

Current

December 1, 2021 - Present

FRONTIER SECURITIES

Office #1: 2101 E. Coast Hwy Suite 200, Corona Del Mar, CA 92625
BD
CRD#: 136102
Corona Del Mar, CA
Past

July 26, 2013 - September 14, 2021

HEXAGON CAPITAL ALLIANCE LLC

BD
CRD#: 47981
Irvine, CA
Past

February 1, 2012 - April 11, 2013

D.A. DAVIDSON & CO.

BD
CRD#: 199
COSTA MESA, CA
Past

October 1, 2010 - March 1, 2012

MCGLADREY CAPITAL MARKETS, LLC

BD
CRD#: 47639
COSTA MESA, CA
Past

September 29, 2009 - October 8, 2010

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
LOS ANGELES, CA
Past

August 18, 2009 - October 8, 2010

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
LOS ANGELES, CA
Past

April 26, 2004 - August 30, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LOS ANGELES, CA
Past

March 3, 2004 - August 30, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LOS ANGELES, CA

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
California
(12/1/2021)
RR
Colorado
(12/1/2021)
RR
Oregon
(12/1/2021)
RR
Washington
(12/1/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/4/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/8/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTIER SECURITIES
FRONTIER SECURITIES | FRONTIER SOLUTIONS, LLC

CRD#: 136102 / SEC#: , 8-66972

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3307 Church Road Suite 220, Richmond, VA 23233
Mailing Address
3307 Church Road Suite 220, Richmond, VA 23233
Phone number
(804) 918-2368
Established
Georgia since 05/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASPEN PARTNERS, LTDMANAGING MEMBER
TERRY, DEBORAH HOLLANDFINOP/CFO5680197
VICK, GEORGE DAVIS IVCHIEF COMPLIANCE OFFICER3006623

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

FRONTIER SECURITIES

CRD#: 136102Corona Del Mar, CA 92625

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