Dale B. Eichman
Professional summary
Dale Bruce Eichman, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Angeles, California and CETERA WEALTH SERVICES, LLC located in Los Angeles, California.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Dale has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dale Bruce Eichman's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1987
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3600 Wilshire Blvd, Suite 1914, Los Angeles, CA 90010Office #2: 4821 E 2nd St., Long Beach, CA 90803July 13, 1983 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3600 Wilshire Blvd Suite 1914, Los Angeles, CA 90010May 17, 2017 - January 5, 2024
CLG LLC
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
July 26, 1981 - July 7, 1983
FSC SECURITIES CORPORATION
December 19, 1979 - August 3, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2022)
(3/23/1984)
(6/29/2023)
(4/26/2024)
(4/17/2007)
(12/8/2021)
(1/10/2023)
(4/2/2024)
(3/4/2010)
(4/2/2024)
(1/10/2024)
(2/6/2014)
(6/26/2008)
(1/9/2016)
(4/6/2023)
Exams
Series 1
Date: 12/10/1979
Registered Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
Red Flags
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