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DJ

Dale F. Jackson

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CRD#: 829261
DJ

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 Fuller Jackson was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1976. Dale had worked at 9 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 24 and Series 27 exams.

top-8-questions

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

May 20, 1993 - February 9, 1996

SEWARD, GROVES, RICHARD & WELLS, INC.

BD
CRD#: 17963
TUXEDO PARK, NY
Past

March 12, 1991 - May 15, 1993

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

December 11, 1989 - February 7, 1991

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

August 22, 1989 - December 16, 1989

ENEX SECURITIES CORPORATION

BD
CRD#: 8591
Past

June 21, 1988 - June 28, 1989

TRION SECURITIES CORPORATION

BD
CRD#: 13504
Past

July 23, 1982 - December 7, 1987

JACKSON FINANCIAL SERVICES, INC.

BD
CRD#: 10627
Past

September 14, 1981 - July 21, 1982

FIRST FLORIDA SECURITIES, INC.

BD
CRD#: 3892
Past

July 29, 1981 - August 17, 1981

JOHN MUIR & CO.

BD
CRD#: 2837
Past

December 8, 1978 - July 7, 1981

FIRST FLORIDA SECURITIES, INC.

BD
CRD#: 3892
Past

November 1, 1976 - January 12, 1979

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

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: 7/31/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/28/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/11/1986
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/1986
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/18/1986
Financial and Operations Principal Examination

Current Firm

SG
SEWARD, GROVES, RICHARD & WELLS, INC.
SEWARD, GROVES, RICHARD & WELLS, INC.

CRD#: 17963 / SEC#: , 8-35871

BD
Cancelled by SEC on 08/27/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/22/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WLOSEK, KENNETH PETERPRESIDENT & CHIEF COMPLIANCE OFFICER1271626

Disclosures

Regulatory Event6

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

SEWARD, GROVES, RICHARD & WELLS, INC.

CRD#: 17963

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