Dale S. Cronnell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dale Stephen Cronnell was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1972. Dale had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2002 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 17, 1989 - January 28, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 28, 1988 - December 20, 1988
HAMILTON INVESTMENTS, INC.
May 24, 1988 - December 16, 1988
OBERWEIS SECURITIES, INC.
February 6, 1987 - October 5, 1987
MOSELEY SECURITIES CORPORATION
August 19, 1983 - February 26, 1987
UBS FINANCIAL SERVICES INC.
September 16, 1977 - October 6, 1983
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 28, 1972 - February 27, 1976
BACHE & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 3/8/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/19/1981
Interest Rate Options ExaminationSeries 1
Date: 6/26/1972
Registered Representative ExaminationSeries 40
Date: 1/13/1976
Registered Principal ExaminationSeries 12
Date: 11/25/1975
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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