Dale Smith is a registered investment advisor, based in Boca Raton, FL, with 30 years of industry experience.
Location
Boca Raton, FL
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Dale owns Sportsbozos, LLC, a sports commentary website, since 2018. He dedicates a few hours per week to this activity, and none during trading hours.
Employment History
Current Registrations
B. Riley Wealth Management
February 2022 - Present · 4 yrs 3 mos
B. Riley Wealth ManagementBroker
February 2022 - Present · 4 yrs 3 mos
B. Riley Wealth Advisors, INC.
August 2014 - Present · 11 yrs 9 mos
Previous Registrations
Vfinance Investments, INCBroker
July 2016 - December 2017 · 1 yr 5 mos
National Securities CorporationBroker
December 2013 - July 2022 · 8 yrs 7 mos
Dawson James Securities, INC.Broker
December 2010 - June 2013 · 2 yrs 6 mos
Vfinance Investments, INCBroker
July 2010 - December 2010 · 5 mos
Great Eastern Securities, INC.Broker
November 2006 - January 2007 · 2 mos
Pointe AtlanticBroker
May 2006 - July 2007 · 1 yr 2 mos
Jhs Capital Advisors, INC.Broker
March 2006 - June 2010 · 4 yrs 3 mos
North American Clearing, INC.Broker
January 2005 - March 2006 · 1 yr 2 mos
Domestic Securities, INC.Broker
March 2002 - October 2004 · 2 yrs 7 mos
On-Line Investment Services, INC.Broker
September 2000 - September 2000 · 0 mos
Schonfeld Securities, LLCBroker
November 1998 - February 2000 · 1 yr 3 mos
Navillus Securities, INC.Broker
September 1998 - November 1998 · 2 mos
On-Site Trading, INC.Broker
February 1997 - July 1998 · 1 yr 5 mos
Major League Securities, INC.Broker
January 1997 - February 1997 · 1 mo
Schonfeld Securities INC.Broker
January 1997 - February 1997 · 1 mo
Schonfeld Securities INC.Broker
July 1992 - February 1995 · 2 yrs 7 mos
Olde Discount CorporationBroker
August 1990 - June 1991 · 10 mos
The Stuart-James Company, IncorporatedBroker
October 1989 - May 1990 · 7 mos
State Registrations1 state
FL
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.