Dale A. Walters
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 Allen Walters, CFP® was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1980. Dale had worked at 9 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2009 - September 29, 2017
KEATS, CONNELLY & ASSOCIATES, INC
December 5, 2007 - October 21, 2011
CROSS BORDER TAX & ACCOUNTING, LLC
August 31, 1994 - June 23, 2010
KEATS CONNELLY AND ASSOCIATES INC.
June 2, 1986 - November 20, 1986
NYLIFE SECURITIES LLC
November 15, 1985 - May 7, 1986
VP DISTRIBUTORS LLC
July 2, 1984 - November 1, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 25, 1980 - May 29, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
August 25, 1980 - May 29, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
August 25, 1980 - May 29, 1984
IDS LIFE INSURANCE COMPANY
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 1
Date: 8/16/1980
Registered Representative ExaminationCurrent Firm
KEATS, CONNELLY & ASSOCIATES, INC
CRD#: 148884 / SEC#: 801-69866
Contact information
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.
