Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dale? Claim Your ProfileDale Graham Stern is an active investment advisor representative with LPL Financial LLC in Palatine, Illinois. Dale has been in the financial services industry for over 24 years, with previous employment at firms such as BMO HARRIS FINANCIAL ADVISORS, INC., HARRISDIRECT LLC, and Ameritas Investment Corp. Dale holds FINRA Series 7 and Series 63 licenses as well as a Series 65 license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
IL
03/26/2021 - Present
LPL Financial LLC (PALATINE IL)
IL
12/14/2005 - 03/24/2021
BMO HARRIS FINANCIAL ADVISORS, INC. (PALATINE IL)
NJ
05/01/2002 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
WA
12/09/2000 - 05/01/2002
HARRIS INVESTORLINE INC. (SEATTLE WA)
NE
11/08/1999 - 03/07/2002
AMERITAS INVESTMENT CORP. (LINCOLN NE)
IL
04/15/2000 - 12/09/2000
HARRIS INVESTORLINE (CHICAGO IL)
IL
11/02/1999 - 04/15/2000
HARRIS INVESTORS DIRECT, INC. (CHICAGO IL)
NY
01/19/1999 - 10/29/1999
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MN
11/12/1998 - 12/17/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
IL
10/29/1997 - 12/09/1998
MADISON SECURITIES, INC. (CHICAGO IL)
MN
11/12/1998 - 12/04/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 11/27/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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