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GD

Gene A. Dale

FRANKLIN DISTRIBUTORS
St. Petersburg, FL 33716
Some features on this profile are disabled
CRD#: 5055669
GD

Professional summary

Gene Aaron Dale III, who also goes by Aaron Dale, Gene Aaron Dale, Gene Aaron Dale III, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St. Petersburg, Florida.

Gene is registered as a RR (Registered Representative) and started their career in finance in 2006. Gene has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aaron Dale | Gene Aaron Dale | Gene Aaron Dale Iii

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 Gene Aaron Dale III'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®
None

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 Fountain Parkway, St. Petersburg, FL 33716
BD
CRD#: 109064
St. Petersburg, FL
Past

September 23, 2019 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
ST. PETERSBURG, FL
Past

September 23, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
ST. PETERSBURG, FL
Past

November 19, 2018 - July 23, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CLEARWATER, FL
Past

November 16, 2018 - July 23, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CLEARWATER, FL
Past

June 25, 2015 - May 23, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

June 23, 2015 - May 23, 2018

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

September 14, 2010 - June 18, 2015

MORGAN STANLEY

RIA
CRD#: 149777
TAMPA, FL
Past

September 14, 2010 - June 18, 2015

MORGAN STANLEY

BD
CRD#: 149777
TAMPA, FL
Past

May 11, 2007 - October 15, 2008

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CHICAGO, IL
Past

May 11, 2007 - October 15, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

October 13, 2006 - February 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

May 15, 2006 - February 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Alabama
(11/8/2022)
RR
Alaska
(11/8/2022)
RR
Arizona
(11/8/2022)
RR
Arkansas
(11/8/2022)
RR
California
(7/7/2021)
RR
Colorado
(11/8/2022)
RR
Connecticut
(7/7/2021)
RR
Delaware
(11/8/2022)
RR
District of Columbia
(11/8/2022)
RR
Florida
(7/7/2021)
RR
Georgia
(11/8/2022)
RR
Hawaii
(11/8/2022)
RR
Idaho
(11/8/2022)
RR
Illinois
(11/8/2022)
RR
Indiana
(11/8/2022)
RR
Iowa
(11/8/2022)
RR
Kansas
(11/8/2022)
RR
Kentucky
(11/8/2022)
RR
Louisiana
(11/8/2022)
RR
Maine
(7/7/2021)
RR
Maryland
(11/8/2022)
RR
Massachusetts
(7/7/2021)
RR
Michigan
(11/8/2022)
RR
Minnesota
(11/8/2022)
RR
Mississippi
(11/8/2022)
RR
Missouri
(11/8/2022)
RR
Montana
(11/8/2022)
RR
Nebraska
(11/8/2022)
RR
Nevada
(11/8/2022)
RR
New Hampshire
(7/7/2021)
RR
New Jersey
(1/3/2022)
RR
New Mexico
(11/8/2022)
RR
New York
(7/7/2021)
RR
North Carolina
(11/8/2022)
RR
North Dakota
(11/8/2022)
RR
Ohio
(11/9/2022)
RR
Oklahoma
(11/8/2022)
RR
Oregon
(11/8/2022)
RR
Pennsylvania
(11/8/2022)
RR
Puerto Rico
(11/8/2022)
RR
Rhode Island
(7/7/2021)
RR
South Carolina
(11/8/2022)
RR
South Dakota
(11/8/2022)
RR
Tennessee
(11/8/2022)
RR
Texas
(11/8/2022)
RR
Utah
(11/8/2022)
RR
Vermont
(7/7/2021)
RR
Virgin Islands
(11/8/2022)
RR
Virginia
(11/8/2022)
RR
Washington
(11/8/2022)
RR
West Virginia
(11/8/2022)
RR
Wisconsin
(11/8/2022)
RR
Wyoming
(11/8/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

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

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 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#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064St. Petersburg, FL 33716

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