DJ
Dale L. Jennings
TASTYTRADE
Chicago, IL 60607
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CRD#: 5174223
DJ
Professional summary
Dale Lee Jennings, who also goes by Dale Lee Jennings Jr., Dale Lee Jennings, is a registered financial professional currently at TASTYTRADE, INC. located in Chicago, Illinois.
Dale is registered as a RR (Registered Representative) and started their career in finance in 2006. Dale has worked at 5 firms and has passed the Series 63, Series 3, SIE, Series 34, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dale Lee Jennings Jr. | Dale Lee Jennings
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.
CRS (Client Relationship Summary) - BD
Click below to view Dale Lee Jennings'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®
NoneExperience
Current
May 6, 2024 - Present
TASTYTRADE, INC.
Office #1: 1330 West Fulton Street Suite 600, Chicago, IL 60607BD
CRD#: 277027
Chicago, IL
Past
February 7, 2022 - April 4, 2024
ROBINHOOD FINANCIAL, LLC
BD
CRD#: 165998
Chicago, IL
Past
March 21, 2017 - November 27, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Chicago, IL
Past
April 20, 2012 - November 14, 2017
OPTIONSXPRESS, INC.
BD
CRD#: 103849
CHICAGO, IL
Past
November 17, 2008 - April 27, 2012
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
October 6, 2006 - September 3, 2008
TD AMERITRADE, INC.
BD
CRD#: 7870
BELLEVUE, NE
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(5/8/2024)
RR
Alaska(5/6/2024)
RR
Arizona(5/16/2024)
RR
Arkansas(5/10/2024)
RR
California(5/6/2024)
RR
Colorado(5/8/2024)
RR
Connecticut(5/6/2024)
RR
Delaware(5/17/2024)
RR
District of Columbia(5/9/2024)
RR
Florida(5/7/2024)
RR
Georgia(5/8/2024)
RR
Hawaii(5/10/2024)
RR
Idaho(5/6/2024)
RR
Illinois(5/8/2024)
RR
Indiana(5/13/2024)
RR
Iowa(5/6/2024)
RR
Kansas(5/6/2024)
RR
Kentucky(5/14/2024)
RR
Louisiana(5/15/2024)
RR
Maine(5/7/2024)
RR
Maryland(5/9/2024)
RR
Massachusetts(5/6/2024)
RR
Michigan(5/8/2024)
RR
Minnesota(5/8/2024)
RR
Mississippi(5/9/2024)
RR
Missouri(5/10/2024)
RR
Montana(5/8/2024)
RR
Nebraska(5/6/2024)
RR
Nevada(5/8/2024)
RR
New Hampshire(5/9/2024)
RR
New Jersey(5/6/2024)
RR
New Mexico(5/9/2024)
RR
New York(5/15/2024)
RR
North Carolina(5/15/2024)
RR
North Dakota(5/13/2024)
RR
Ohio(5/6/2024)
RR
Oklahoma(5/8/2024)
RR
Oregon(5/7/2024)
RR
Pennsylvania(5/7/2024)
RR
Puerto Rico(5/20/2024)
RR
Rhode Island(5/9/2024)
RR
South Carolina(5/14/2024)
RR
South Dakota(5/21/2024)
RR
Tennessee(5/10/2024)
RR
Texas(5/7/2024)
RR
Utah(5/7/2024)
RR
Vermont(5/8/2024)
RR
Virgin Islands(5/9/2024)
RR
Virginia(5/9/2024)
RR
Washington(5/9/2024)
RR
West Virginia(5/9/2024)
RR
Wisconsin(5/7/2024)
RR
Wyoming(5/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TASTYTRADE, INC.
TASTYTRADE, INC. | TASTYWORKS, INC.
CRD#: 277027 / SEC#: , 8-69649
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1330 West Fulton Street Suite 600, Chicago, IL 60607
Mailing Address
1330 West Fulton Street Suite 600, Chicago, IL 60607
Phone number
(312) 724-7075
Established
Delaware since 06/22/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TASTYLIVE, INC. | OWNER | |
| ADLER, KERRY ANN PATRICIA | INTERIM CHIEF COMPLIANCE OFFICER | 3269947 |
| BRASIL DE OLIVEIRA, LUIS FERNANDO | CHIEF OPERATING OFFICER | 5652832 |
| CHIOU, JASON | HEAD OF CLIENT BROKERAGE SERVICES | 6757512 |
| GRACE, CHRISTOPHER WILLIAM | HEAD OF BROKERAGE TRADING OPERATIONS | 5985000 |
| MONTERRUBIO, DAMON | AML COMPLIANCE OFFICER | 5565532 |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
