Dale H. Reppert
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 H Reppert was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1980. Dale had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2019 - September 30, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 8, 2019 - September 30, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 10, 2014 - February 28, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 14, 2013 - February 28, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 3, 2006 - August 18, 2008
MERIDIAN UNITED CAPITAL, LLC
December 20, 2002 - November 1, 2004
MORGAN STANLEY DW INC.
March 21, 1980 - November 1, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 7TO
Date: 12/15/2022
General Securities Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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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