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DI

Dale W. Inglett

Some features on this profile are disabled
CRD#: 720531
DI

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 Warren Inglett 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 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - July 8, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
Billings, MT
Past

February 23, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
Billings, MT
Past

February 22, 2023 - July 8, 2025

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
Billings, MT
Past

February 16, 2018 - February 23, 2023

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
Billings, MT
Past

February 15, 2018 - February 22, 2023

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
Billings, MT
Past

October 7, 1993 - February 23, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
BILLINGS, MT
Past

May 31, 1989 - October 6, 1993

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

September 13, 1983 - May 31, 1989

FIRST AFFILIATED SECURITIES, INC.

BD
CRD#: 6871
SAN DIEGO, CA
Past

May 3, 1982 - September 6, 1983

BOETTCHER & COMPANY, INC.

BD
CRD#: 101
Past

March 24, 1982 - May 26, 1982

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

November 21, 1980 - March 26, 1982

FOSTER & MARSHALL INC.

BD
CRD#: 321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/1982
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 7
Date: 11/15/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/2/1991
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/22/1985
General Securities Principal Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
PREMIUM
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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Contact information

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