Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dale? Claim Your ProfileDale Thomas Miller is a financial advisor registered with Morgan Stanley, providing investment advice and financial planning services to a wide range of clients, including individuals, corporations, and institutions. Dale has been in the financial industry since 1993 and is licensed to provide advisory services in multiple states. In addition to Morgan Stanley, Dale has previously held positions with UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney Inc., Cort Mackenzie Securities, Inc., and J. W. Gant & Associates, Inc. Dale has a variety of qualifications, including Series 7, Series 3, and Series 63 securities licenses, as well as a Series 65 investment advisor license. Dale is also a published author and business owner.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
WA
06/01/2009 - Present
Morgan Stanley (Kirkland WA)
WA
05/09/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BELLEVUE WA)
WA
11/05/2001 - 05/21/2008
UBS FINANCIAL SERVICES INC. (BELLEVUE WA)
NY
09/16/1996 - 11/26/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/05/1994 - 09/06/1996
SMITH BARNEY INC. (NEW YORK NY)
NA
06/01/1993 - 09/30/1994
CORT MACKENZIE SECURITIES, INC.
NA
02/24/1992 - 06/30/1992
J. W. GANT & ASSOCIATES, INC.
IA
Issued 10/13/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2003
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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