Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dale? Claim Your ProfileDale Stokes is a financial advisor at LPL Financial LLC in San Diego, CA. Dale has over 28 years of experience in the financial services industry. Dale holds a Series 7, Series 10, Series 9, Series 4, Series 55, and Series 63 license. Dale is also a Registered Principal. Dale has worked for several firms throughout their career, including WELLS FARGO CLEARING SERVICES, LLC, M. S. HOWELLS & CO., FSC SECURITIES CORPORATION, ROYAL ALLIANCE ASSOCIATES, INC., and WOODBURY FINANCIAL SERVICES, INC. Dale specializes in providing financial planning, portfolio management, and consulting services to individuals, corporations, and charitable organizations. Dale is committed to helping clients achieve their financial goals.
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
CA
02/24/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
MO
08/20/2021 - 02/09/2023
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
AZ
03/31/2020 - 11/23/2020
M. S. HOWELLS & CO. (SCOTTSDALE AZ)
GA
11/04/2016 - 04/15/2020
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
11/04/2016 - 04/15/2020
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MN
11/04/2016 - 04/15/2020
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
AZ
04/02/2015 - 04/14/2020
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
05/09/2003 - 01/27/2015
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
NY
02/28/2002 - 09/18/2002
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
11/17/2000 - 02/27/2002
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
TX
03/09/1999 - 11/17/2000
FLEET SECURITIES, INC. (DALLAS TX)
NY
07/23/1997 - 03/24/1999
SPEAR, LEEDS & KELLOGG (NEW YORK NY)
NY
02/23/1994 - 07/14/1997
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
10/19/1992 - 03/01/1994
FLEET BROKERAGE SECURITIES, INC. (NEW YORK NY)
BC
Issued 11/10/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/25/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/23/1998
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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