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Dalton Gustafson

National Financial Services LLC

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About Dalton Gustafson

Dalton Gustafson is a financial professional with over 28 years of experience in the industry. Dalton is currently registered with National Financial Services LLC and Fidelity Brokerage Services LLC. Dalton is also registered with Fidelity Distributors Co. LLC. Dalton holds a Series 7, Series 24, Series 51, and Series 63 licenses. Dalton Gustafson has been serving clients throughout the United States.

Firm Information

Dalton Gustafson is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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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Dalton Gustafson’s Registration & Firm History

RI

07/31/2021 - Present

National Financial Services LLC (SMITHFIELD RI)

IL

06/18/1998 - 11/10/1999

JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)

TX

07/10/1997 - 05/14/1998

VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC. (HOUSTON TX)

NC

10/25/1995 - 06/26/1997

EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)

IL

03/23/1994 - 10/17/1995

JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)

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Licenses & Designations

BC

Issued 10/11/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/24/2009

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 04/06/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/22/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Dalton Gustafson.
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