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Dale Wesley Martin

THE Leaders Group, Inc.

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About Dale Wesley Martin

Dale Martin is a financial advisor with The Leaders Group, Inc. Dale has been in the financial services industry since 1984. Dale has a Series 6, 7, 26, 63 and SIE. Dale is registered in Florida. Dale has previously worked at UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Hornor, Townsend & Kent, Inc., Vance & Co., and Mimlic Sales Corporation.

Firm Information

Dale Martin is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Dale Martin’s Registration & Firm History

CO

07/15/2019 - Present

THE Leaders Group, Inc. (LITTLETON CO)

FL

07/01/2014 - 07/11/2019

UBS FINANCIAL SERVICES INC. (PALM BEACH GARDENS FL)

MN

09/23/1999 - 06/30/2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BLOOMINGTON MN)

PA

12/09/1997 - 09/01/1999

HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)

IL

11/15/1996 - 12/12/1997

VANCE & CO. (JOLIET IL)

MN

05/16/1985 - 11/19/1996

MIMLIC SALES CORPORATION (ST. PAUL MN)

NA

10/14/1983 - 03/19/1985

PRUCO SECURITIES CORPORATION

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Licenses & Designations

IA

Issued 09/26/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/02/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/22/1995

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/22/2000

Series 7 - General Securities Representative Examination

BC

Issued 10/13/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Dale Wesley Martin. Review regulatory record here.
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