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DP

Dalton T. Pierce

SOUTH MINNEAPOLIS, MN
Some features on this profile are disabled
CRD#: 7903582
DP
Dalton Thomas Pierce

Professional summary

Dalton Thomas Pierce, who also goes by Tommy Pierce, was a registered financial advisor .

Dalton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Dalton had worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

At a Glance

Always Fiduciary

Aliases

Tommy Pierce

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.
1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED 2. 4510 Colfax Ave S1, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 08/20/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER. not INVESTMENT RELATED. 2. TREASURER, CTIC, NON-PROFIT, START DATE: 03/05/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, EMAILING VENDORS AND VERIFYING REGISTRATIONS. NON INVESTMENT RELATED.

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

Current

September 14, 2026 - Present

SOUTH MINNEAPOLIS, MN
Past

December 18, 2024 - August 25, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Golden Valley, MN
Past

May 30, 2024 - November 5, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Golden Valley, MN

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Minnesota
(9/14/2026)
IAR
Virginia
(9/16/2026)

Exams

What does exam status mean?
State Security Law Exam
IAR
Series 65
Status Unavailable
Passed: 6/1/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
PR
Series 63
Status Unavailable
Passed: 6/22/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
PR
Series 7TO
Status Unavailable
Passed: 1/13/2025
General Securities Representative Examination
General Industry/Product Exam
PR
Series 6TO
Status Unavailable
Passed: 5/30/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 5/15/2024
Securities Industry Essentials Examination

Current firm

No current employment

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

No current employment

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