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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.

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DW

Dale L. Woodward

DW FINANCIAL
ANAHEIM, CA 92807
Some features on this profile are disabled
CRD#: 5039086
DW

Professional summary

Dale Lee Woodward MR, CFP®, who also goes by Dale Lee Woodward, is a registered financial advisor currently at DW FINANCIAL INC located in Anaheim, California.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Dale has worked at 1 firm .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dale Lee Woodward

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.
Real Estate Broker

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Lee Woodward MR'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®
CFP®

Certified Financial Planner

Start date: 1988

Experience

Current

September 22, 2005 - Present

DW FINANCIAL INC

Office #1: 1230 N Jefferson St #k, Anaheim, CA 92807
RIA
CRD#: 136882
ANAHEIM, CA
Past

September 23, 2005 - December 31, 2007

DW FINANCIAL INC

RIA
CRD#: 136882
ANAHEIM, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(9/22/2005)

Exams

Current Firm

DF
DW FINANCIAL INC
DW FINANCIAL INC

CRD#: 136882 / SEC#:

California
Registered Investment Advisory firm - (11/28/2001 Approved)
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Contact information

Main Address
1230 N Jefferson Suite K, Anaheim, CA 92807
Mailing Address
Phone number
(714) 632-0500
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts118
AUM (Assets Under Management)$ 46,000,000

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

DW FINANCIAL INC

CRD#: 136882Anaheim, CA 92807

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