Dale J. Korman

HARBOR CAPITAL ADVISORS

Marietta, GA

Some features on this profile are disabled

CRD#: 5152816

Professional summary

Dale Jarrett Korman, CFP®, CIMA® is a registered financial advisor currently at HARBOR CAPITAL ADVISORS, INC. located in Marietta, Georgia and HARBOR FUNDS DISTRIBUTORS, INC. located in Paoli, Pennsylvania.

Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Dale has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Dale Jarrett Korman'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

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 23, 2021 - Present

HARBOR CAPITAL ADVISORS, INC.

RIA

CRD#: 113042

Marietta, GA

Current

November 1, 2021 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506

Paoli, PA

Past

April 3, 2020 - August 26, 2021

SAGE ADVISORY SERVICES LTD CO

RIA

CRD#: 106236

St. Petersburg, FL

Past

May 6, 2019 - March 27, 2020

NOVAK & POWELL FINANCIAL SERVICES, INC.

RIA

CRD#: 112970

ST. PETERSBURG, FL

Past

March 24, 2016 - May 6, 2019

FEF DISTRIBUTORS, LLC

CRD#: 46585

NEW YORK, NY

Past

August 18, 2006 - March 22, 2016

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

ST. PETERSBURG, FL

Past

July 24, 2006 - March 22, 2016

NEUBERGER BERMAN BD LLC

CRD#: 2908

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".

HARBOR CAPITAL ADVISORS, INC.

BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.

CRD#: 113042 / SEC#: 801-60367

RIA

Registered Investment Advisory firm - (6/7/2001 Approved)

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.

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

Alabama
(3/19/2024)

Alaska
(3/19/2024)

Arizona
(2/13/2024)

Arkansas
(3/19/2024)

California
(3/19/2024)

Colorado
(2/7/2024)

Connecticut
(2/9/2024)

Delaware
(3/19/2024)

District of Columbia
(2/7/2024)

Florida
(11/10/2021)

Georgia
(11/8/2021)

Hawaii
(3/19/2024)

Idaho
(2/12/2024)

IAR

Illinois
(9/23/2021)

Illinois
(3/19/2024)

Indiana
(3/19/2024)

Iowa
(3/19/2024)

Kansas
(3/19/2024)

Kentucky
(3/19/2024)

Louisiana
(2/7/2024)

Maine
(3/19/2024)

Maryland
(2/7/2024)

Massachusetts
(3/19/2024)

Michigan
(3/19/2024)

Minnesota
(3/19/2024)

Mississippi
(3/19/2024)

Missouri
(3/19/2024)

Montana
(3/19/2024)

Nebraska
(3/19/2024)

Nevada
(3/19/2024)

New Hampshire
(3/19/2024)

New Jersey
(3/19/2024)

New Mexico
(3/19/2024)

New York
(3/19/2024)

North Carolina
(3/19/2024)

North Dakota
(3/19/2024)

Ohio
(2/8/2024)

Oklahoma
(3/19/2024)

Oregon
(3/19/2024)

Pennsylvania
(3/19/2024)

Puerto Rico
(2/7/2024)

Rhode Island
(3/19/2024)

South Carolina
(3/19/2024)

South Dakota
(3/19/2024)

Tennessee
(3/19/2024)

Texas
(3/19/2024)

Utah
(3/19/2024)

Vermont
(3/19/2024)

Virgin Islands
(3/19/2024)

Virginia
(2/8/2024)

Washington
(3/19/2024)

West Virginia
(3/19/2024)

Wisconsin
(3/19/2024)

Wyoming
(3/19/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/19/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/17/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARBOR CAPITAL ADVISORS, INC.

BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.

CRD#: 113042 / SEC#: 801-60367

RIA

Registered Investment Advisory firm - (6/7/2001 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606-4302

Mailing Address

Phone number

(312) 443-4400

Established

Firm type

Fiscal year end

# of Employees

236

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV - 2025 PART 2A BROCHURE DTD 03-25-2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 64,793,443,492

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dale J. Korman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Jarrett Korman's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOR FUNDS DISTRIBUTORS, INC.

SAGE ADVISORY SERVICES LTD CO

NOVAK & POWELL FINANCIAL SERVICES, INC.

FEF DISTRIBUTORS, LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

Primary Firm SEC Registration

HARBOR CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/2024

Series 66

Date: 8/17/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2006

Series 24

Date: 9/29/2023

FINRA

Current Firm

HARBOR CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBOR CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors