Dale W. Stanley
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 Wayne Stanley, who also goes by Dale Stanley, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1980. Dale had worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 15, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2023 - September 25, 2025
BANKERS LIFE SECURITIES, INC.
February 12, 1987 - June 5, 1989
LEHMAN BROTHERS INC.
November 24, 1986 - December 19, 1986
UBS FINANCIAL SERVICES INC.
February 5, 1985 - November 19, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 1983 - January 22, 1985
E. F. HUTTON & COMPANY INC
October 19, 1981 - July 25, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 1981 - August 29, 1984
INVESTORS FINANCIAL SERVICES, INCORPORATED
November 25, 1980 - June 8, 1982
M. S. WIEN & CO., 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 6TO
Date: 5/23/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 15
Date: 6/5/1984
Foreign Currency Options ExaminationCurrent Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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