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ED

Ernest L. Dahlen

Some features on this profile are disabled
CRD#: 720666
ED

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.

Ernest Leroy Dahlen III, who also goes by Duke Dahlen III, Duke Dahlen, Ernest Leroy Dahlen, was a registered financial professional .

Ernest is a previously registered financial professional and started their career in finance in 1980. Ernest had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Duke Dahlen Iii | Duke Dahlen | Ernest Leroy Dahlen

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

May 6, 2002 - October 24, 2006

REGIS SECURITIES CORPORATION

BD
CRD#: 103711
WESTERVILLE, OH
Past

November 19, 1999 - February 8, 2000

QUANTUM CAPITAL CORPORATION

BD
CRD#: 42307
COLUMBUS, OH
Past

October 19, 1999 - November 29, 1999

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

January 15, 1997 - November 9, 1999

QUANTUM CAPITAL CORPORATION

BD
CRD#: 42307
COLUMBUS, OH
Past

July 10, 1995 - January 27, 1997

THE HAMILTON-SHEA GROUP, INC.

BD
CRD#: 37526
POMPANO BEACH, FL
Past

June 5, 1993 - October 6, 1994

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

August 15, 1991 - May 25, 1993

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

August 31, 1984 - August 29, 1990

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

December 29, 1980 - August 6, 1984

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628

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
Series 63
Date: 12/8/1999
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/28/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/3/1991
Municipal Securities Principal Examination

Current Firm

RS
REGIS SECURITIES CORPORATION
QUANTUM ACQUISITION CORPORATION, INC. | REGIS SECURITIES CORPORATION | QUANTUM SECURITIES CORPORATION

CRD#: 103711 / SEC#: , 8-52200

BD
Terminated by SEC on 11/11/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 04/13/1999
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CARGIN, ROBERT KENNETHPRESIDENT, CEO, CROP1825995
VARGO, NANCY ARNETTCFO, CCO

Disclosures

Regulatory Event1

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

REGIS SECURITIES CORPORATION

CRD#: 103711

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