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DA

Dale C. Ashby

Some features on this profile are disabled
CRD#: 831949
DA

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 Cottrell Ashby was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1977. Dale had worked at 17 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 1 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

July 21, 2016 - July 10, 2023

VIRTUE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 167816
San Ramon, CA
Past

December 24, 2014 - July 25, 2016

HORTER INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 119880
SAN RAMON, CA
Past

February 9, 2010 - December 31, 2014

ASHBY INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 152485
SAN RAMON, CA
Past

October 5, 2007 - April 1, 2010

USA WEALTH MANAGEMENT LLC

RIA
CRD#: 122082
GRAND RAPIDS, MI
Past

October 5, 2007 - November 30, 2010

USA ADVANCED PLANNERS INC.

BD
CRD#: 131282
SAN RAMON, CA
Past

November 3, 2003 - October 2, 2007

USA FINANCIAL SECURITIES LLC

BD
CRD#: 103857
SAN RAMON, CA
Past

March 31, 1998 - October 28, 2003

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
PLEASANT HILL, CA
Past

January 1, 1998 - October 28, 2003

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

February 5, 1996 - September 9, 1997

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

April 4, 1995 - January 31, 1996

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO
Past

February 7, 1994 - April 4, 1995

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

August 15, 1991 - February 14, 1994

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

September 7, 1990 - September 13, 1991

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

September 7, 1990 - September 13, 1991

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

June 9, 1987 - December 31, 1989

CONSECO FINANCIAL SERVICES, INC.

BD
CRD#: 629
CARMEL, IN
Past

January 3, 1977 - December 25, 1977

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

January 3, 1977 - December 25, 1977

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

January 3, 1977 - December 25, 1977

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321

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".
VC
VIRTUE CAPITAL MANAGEMENT, LLC
VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA
Registered Investment Advisory firm - (6/25/2014 Approved)
Arizona
Registered Investment Advisory firm - (7/1/2014 Terminated)
California
Registered Investment Advisory firm - (7/31/2014 Terminated)
Florida
Registered Investment Advisory firm - (7/1/2014 Terminated)
Georgia
Registered Investment Advisory firm - (7/1/2014 Terminated)
Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)
New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)
Ohio
Registered Investment Advisory firm - (7/1/2014 Terminated)
Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)
Tennessee
Registered Investment Advisory firm - (7/31/2014 Terminated)
Texas
Registered Investment Advisory firm - (7/1/2014 Terminated)

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: 8/23/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/8/1987
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/18/1976
Registered Representative Examination

Current Firm

VC
VIRTUE CAPITAL MANAGEMENT, LLC
VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA
Registered Investment Advisory firm - (6/25/2014 Approved)
Arizona
Registered Investment Advisory firm - (7/1/2014 Terminated)
California
Registered Investment Advisory firm - (7/31/2014 Terminated)
Florida
Registered Investment Advisory firm - (7/1/2014 Terminated)
Georgia
Registered Investment Advisory firm - (7/1/2014 Terminated)
Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)
New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)
Ohio
Registered Investment Advisory firm - (7/1/2014 Terminated)
Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)
Tennessee
Registered Investment Advisory firm - (7/31/2014 Terminated)
Texas
Registered Investment Advisory firm - (7/1/2014 Terminated)
PREMIUM
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Contact information

Main Address
6 Cadillac Dr. Suite 310, Brentwood, TN 37027
Mailing Address
Phone number
(615) 340-0801
Established
Firm type
Fiscal year end
# of Employees
110

SEC notice filing (43 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

Part 2 Brochures

VCM ADV PART 2A (3/28/2024)

Regulatory assets under management

Total Number of Accounts6,111
AUM (Assets Under Management)$ 787,466,707

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

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816

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