WD
William M. Dale
NAVY FEDERAL INVESTMENT SERVICES
Tampa, FL 33611
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CRD#: 4956439
WD
Professional summary
William Michael Dale, CFP®, who also goes by Michael Dale, is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Tampa, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. William has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Dale
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.
- Name of Business: Finacial Institution Insurance Council Committee: Bus. Address: Ft. Lauderdale FL. Nature of Business: Industry Roundtable with other bank and credit unions. Title/Position Held: Volunteer, Dates Employed: 12/11/2023 To: Present. Amount of Time You Devote to Business: two one hour committee meetings a year, plus two office meetings (5-6 days per year). Work for business during securities trading hours? two one hour committee meetings a year, plus two office meetings (5-6 days per year). Brief Description of Duties Performed: Serve on the committee to provide guidence to the managing directors on the direction and course of the FIIC business community. - Name of Business: Procu - Nature of Business:Credit Union Association, Title/Position Held: Board Member, Duties:Serve as volunteer on board, attend board meetings and conferences, Dates Employed: 1/30/2025, 1.5Hrs per month devoted druing non-trade hours, 1.5Hrs per month devoted druing trade hours,
CRS (Client Relationship Summary) - RIA
Click below to view William Michael Dale's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Michael Dale'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®
Experience
Current
October 27, 2022 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 4538 S Dale Mabry Hwy, Tampa, FL 33611RIA
BD
CRD#: 138459
Tampa, FL
Current
October 26, 2022 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 4538 S Dale Mabry Hwy, Tampa, FL 33611RIA
BD
CRD#: 138459
Tampa, FL
Past
May 20, 2020 - August 25, 2022
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
Tampa, FL
Past
January 8, 2018 - July 30, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
Tampa, FL
Past
February 15, 2006 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
TAMPA, FL
Past
February 2, 2006 - July 10, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
TAMPA, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(10/26/2022)
IAR
Florida(10/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
