George E. Dale
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.
George Eric Dale, CFP® was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1974. George had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 5, PC, Series 1, Series 10, Series 9, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2018 - December 12, 2025
FORESIDE FINANCIAL SERVICES, LLC
October 12, 2016 - October 10, 2018
SILVER LEAF PARTNERS, LLC
January 4, 2016 - September 30, 2016
GOLDEN EAGLE SECURITIES, INC.
January 26, 2006 - August 8, 2014
CREDIT SUISSE SECURITIES (USA) LLC
August 26, 2005 - August 8, 2014
CREDIT SUISSE SECURITIES (USA) LLC
January 24, 1980 - January 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - December 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 6/19/1982
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 12/19/1973
Registered Representative ExaminationCurrent Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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