Dale Alan Garnett
Professional Summary
Dale Alan Garnett is a registered financial advisor currently at SMI CAPITAL MARKETS LLC located in Bellevue, Washington. Dale is registered as a RR (Registered Representative) and started their career in finance in 1981. Dale has worked at 31 firms and has passed the Series 66, Series 63, Series 82TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
Years of Experience
45 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
Current Firm
PARK BRIDGE SECURITIES LLC | SMI CAPITAL MARKETS LLC
Contact Information
Main Address
2018 156th Ave Ne Suite 100 Building F, Bellevue, WA 98007Mailing Address
12715 Ne 36th Street, Bellevue, WA 98005Phone Number
(206) 499-0158Established
New York since 03/09/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
State Registrations and Notice Filings
(9/21/2015)
(9/1/2015)
(9/16/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jul 2023About the Series 82TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - BD
Click below to view Dale Alan Garnett's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
THE ENSEMBLE TEAM
HUMANIZE WEALTH
OSAIC WEALTH, INC.
