Dale C. Ashby

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CRD#: 831949

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"?

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.

SELF EMPLOYED; INVESTMENT-RELATED; SAN RAMON, CA; INSURANCE AGENT SERVICES; OWNER/INSURANCE AGENT; 06/1986; VARIES, 50/50 SPLIT WITH INVESTMENT ADVICE; SALE AND SERVICE OF LIFE INS, HEALTH INS AND ANNUITIES.

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.

CRD#: 131282

SAN RAMON, CA

Past

November 3, 2003 - October 2, 2007

USA FINANCIAL SECURITIES LLC

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

CRD#: 13572

EL SEGUNDO, CA

Past

February 5, 1996 - September 9, 1997

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

April 4, 1995 - January 31, 1996

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

February 7, 1994 - April 4, 1995

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

August 15, 1991 - February 14, 1994

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

September 7, 1990 - September 13, 1991

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 7, 1990 - September 13, 1991

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

June 9, 1987 - December 31, 1989

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

CARMEL, IN

Past

January 3, 1977 - December 25, 1977

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

January 3, 1977 - December 25, 1977

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

January 3, 1977 - December 25, 1977

IDS LIFE INSURANCE COMPANY

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/23/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/1987

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 1

Date: 12/18/1976

Registered Representative Examination

Current Firm

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)

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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)

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 Accounts	6,111
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.

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Advisor Monitoring

Firm Stability Insights

Dale C. Ashby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORTER INVESTMENT MANAGEMENT, LLC

ASHBY INVESTMENT MANAGEMENT, LLC

USA WEALTH MANAGEMENT LLC

USA ADVANCED PLANNERS INC.

USA FINANCIAL SECURITIES LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

FFP SECURITIES, INC.

BA INVESTMENT SERVICES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CONSECO FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

VIRTUE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2007

Series 63

Date: 3/6/1991

Series 7

Date: 11/15/1991

Series 6

Date: 6/8/1987

Series 1

Date: 12/18/1976

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIRTUE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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