Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dale? Claim Your ProfileDale Nowak is a financial professional with over 30 years of experience in the industry. Dale is currently registered with Charles Schwab & Co., Inc. and has held previous positions with OPTIONSXPRESS, INC., METLIFE SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, PRUCO SECURITIES CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, THOMAS JAMES ASSOCIATES, INC., B C FINANCIAL CORPORATION, and MARSHALL DAVIS, INC. Dale holds several licenses and certifications, including Series 7, Series 10, Series 9, Series 55, Series 57TO, Series 99TO, and the SIE. Dale is licensed to provide services in Arizona, California and Colorado.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
04/29/1996 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
04/01/2016 - 11/14/2017
OPTIONSXPRESS, INC. (PHOENIX AZ)
MA
11/07/1991 - 03/14/1996
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
11/07/1991 - 03/14/1996
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NJ
06/07/1990 - 03/21/1991
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
06/07/1990 - 03/21/1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
NY
10/12/1989 - 05/21/1990
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NA
09/14/1989 - 05/21/1990
THOMAS JAMES ASSOCIATES, INC.
NA
08/25/1989 - 09/16/1989
B C FINANCIAL CORPORATION
NY
06/01/1989 - 09/13/1989
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NA
01/13/1988 - 06/03/1989
ANDREW ALEN SECURITIES, INC.
NA
07/29/1987 - 12/03/1987
MARSHALL DAVIS, INC.
BC
Issued 08/04/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/27/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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