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CD

Charles E. Dale

REGIONS SECURITIES LLC
Dallas, TX 75202
Some features on this profile are disabled
CRD#: 6225943
CD

Professional summary

Charles E Dale, who also goes by Charles Dale, Chuck Dale, is a registered financial professional currently at REGIONS SECURITIES LLC located in Dallas, Texas.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2013. Charles has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Dale | Chuck Dale

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 Charles E Dale'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®
None

Experience

Current

July 12, 2016 - Present

REGIONS SECURITIES LLC

Office #1: 1717 Mckinney Avenue, Dallas, TX 75202
BD
CRD#: 159475
Dallas, TX
Past

September 9, 2013 - June 23, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
DALLAS, TX

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
Arizona
(8/13/2018)
RR
California
(8/14/2018)
RR
Nevada
(8/14/2018)
RR
Texas
(7/12/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/10/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

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

Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RFC FINANCIAL SERVICES HOLDING LLCPARENT
AMIN, RITVIG NIPENDRACHAIRMAN OF THE BOARD & DIRECTOR2901218
GIARDINO, NEILCEO, PRESIDENT AND DIRECTOR2428962
HOLLOWAY, GLENN CHRISTOPHERFINOP, CFO, PFO, POO & DIRECTOR4566759
MAGGIORE, JILL WRIGHTCHIEF COMPLIANCE OFFICER & DIRECTOR1001068
MAXWELL, JASON MATTHEWCHIEF LEGAL OFFICER & DIRECTOR5997125

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

REGIONS SECURITIES LLC

CRD#: 159475Dallas, TX 75202

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