DY
Dale W. Young
CETERA INVESTMENT ADVISERS LLC
DALLAS, TX 75240
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CRD#: 838993
DY
Professional summary
Dale Wayne Young is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Dale has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. INDEPENDENT INSURANCE AGENT/SUMMIT CONS GRP INC, 40 HRS/WK & 5 HRS/EVENING/WKENDS, SINCE 1987; 2. RESOURCE ONE ADMIN INC, NOT INVS REL,1350 S BOULDER AVE STE 300, TULSA OK 74119, 3RD PARTY ADMIN SERV, START 1998, CEO, 5HRS/WK (NON-TRADING HOURS); 3. PROLIANCE RES GRP LLC, NOT INVS REL, SAME AS REGIS ADDRESS, INTERMEDIARY SERVICES & CONSULTING, START 2008, 1HR/WK (NON-TRADING HOURS), PARTNER - REFER BUSINESS; CEO; 4. YOUNG FAMILY HOLDINGS LLC, DALLAS TX, 0 HOURS INVOLVED, SINCE 1/2009; OWNS COMCL REAL ETSTATE; 5. FIXED INSURANCE WITH VARIOUS COMPANIES, INVS REL, SAME AS REGIST ADD, FIXED INS, START 1987, 20HRS/WK (TRADING HOURS), INS AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, & LTC; 6. MUSTANG PROPERTY GROUP LLC, NOT INVS REL, RANCH & EXEC TRAINING CTR, START 2009, 2HRS/WK, CEO; 7. FORT SUMMIT, NOT INVS REL, 1350 S BOULDER AVE STE 300, TULSA OK 74119, EXEC TRAINING CENTER, START 1994, CEO; 8. SUMMIT FIRST INS LLC, INVS RELATED, 30 TOWER LANE, STE 135, AVON, CT, 06001, PROP & CASUALTY INS SALES, START 2009, 2HRS/WK, CEO; 9. SUMMIT NATL PARTNERS LLC, INVS REL, SAME AS REGIS ADD, SECURITIES MARKETING THROUGH CETERA, START 2012, 10HRS/WK, PARTNER; 10. SUMMIT, INVS REL,SAME AS REGIS ADD, DBA FOR FINANCIAL SERVICES, START 3/2017, 30HRS/WK (NON-TRADING HRS), CHAIRMAN & CEO; 11. SUMCAL LLC, INVS REL, 1990 S BUNDY DR STE 450, LOS ANGELES CA 90025, LIFE INS SALES & MKTNG, START 04/2022, 1HR/WK (NON-TRADING HRS), CHAIRMAN; 12. METHODIST HEALTH SYSTEMS, NOT INVS REL, DALLAS TX, NON-PROFIT HOSPITAL, START 2009, 1HR/WK (NON-TRADING HRS), BOARD MEMBER; 13. SUMMIT FINANCIAL GROUP, INC. INVESTMENT RELATED, SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: PAYS EXPENSES FOR OFFIC STARTED 4/2017 23: DBA SUMMIT CONSOLIDATED GROUP, LISTED ON SUMMIT WEBSITE 14. OTHER BUSINESS: TEXAS BUSINESS LEADERSHIP COUNCIL; NOT INV RLTD; 515 CONGRESS AVENUE, SUITE 2240 AUSTIN, TX 78701; NATURE OF BUSINESS: NON PROFIT; START : 8/2021 TITLE: BOARD MEMBER; APX #OF HRS/WK: 2-4; DUTIES: ATTEND MEETINGS ENSURE POLICIES AND STRUCTURES ARE IN PLACE; 15. OTHER BUSINESS: NORTH TEXAS COMMISSION; NOT INV RLTD; 8445 FREEPORT PARKWAY, SUITE 640 IRVING, TX 75063; NATURE OF BUSINESS: NON PROFIT; START: 6/2020 TITLE: BOARD MEMBER; APX #OF HRS/WK: 1; DUTIES: ATTEND MEETINGS, PUSH ORGANIZATION TOWARD MISSION TO ADVOCATE AND COLLABORATE; 16. OTHER BUSINESS: FIRST FINANCIAL RESOURCES, LLC INVST RLTD: YES, ADDRESS: 100 SPECTRUM CENTER DRIVER, SUITE 400, IRVINE, CA, 92618. NATURE OF BUSINESS: INSURANCE SALES ALLIANCE, START: 10/2005, TITLE: PART OWNER, >1 HR/WK, NOT DUR TRD HRS, DUTIES: NO MANAGEMENT DUTIES, MEMBER ONLY; 17. NAME OF OTHER BUSINESS: SUMMIT CAPITAL VENTURES, LLC INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: M & A, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: ADVISORY BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PROVIDE GUIDANCE ON ACQUISITIONS.;
CRS (Client Relationship Summary) - RIA
Click below to view Dale Wayne Young's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5420 Lbj Freeway Ste 1940, Dallas, TX 75240RIA
CRD#: 105644
DALLAS, TX
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5420 Lbj Freeway Ste 1940, Dallas, TX 75240BD
CRD#: 13572
Dallas, TX
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 5, 2006 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
DALLAS, TX
Past
November 5, 1996 - November 3, 2006
WALNUT STREET ADVISERS INC
RIA
CRD#: 109903
TULSA, OK
Past
December 24, 1992 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
DALLAS, TX
Past
January 16, 1990 - December 7, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
October 2, 1978 - June 30, 1989
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 21, 1977 - December 16, 1978
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
Past
June 21, 1977 - December 16, 1978
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Oklahoma(9/3/2013)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/17/1977
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Dallas, TX 75240TRUST BUT VERIFY
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