Dale Driggs is a registered investment advisor, based in West Lafayette, IN, with 36 years of industry experience.
Location
1330 Win Hentschel Blvd, Suite 216, West Lafayette, IN, 47906
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Regulatory History (2)
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Customer Dispute
April 2006Denied
Customer Dispute
January 2004Settled
Other Business Activities
Dale is involved in investment-related real estate rental activities since August 2023.
Employment History
Current Registrations
Sigma Financial Corporation
October 2023 - Present · 2 yrs 7 mos
Sigma Financial CorporationBroker
October 2023 - Present · 2 yrs 7 mos
Spc
October 2023 - Present · 2 yrs 7 mos
Previous Registrations
LPL Financial LLCBroker
September 2023 - October 2023 · 1 mo
LPL Financial LLC
September 2023 - October 2023 · 1 mo
Sigma Financial CorporationBroker
November 2013 - September 2023 · 9 yrs 10 mos
Spc
November 2013 - September 2023 · 9 yrs 10 mos
Ameriprise Financial Services, INC.
March 2010 - November 2013 · 3 yrs 8 mos
Ameriprise Financial Services, INC.Broker
October 2009 - November 2013 · 4 yrs 1 mo
Ameriprise Advisor Services, INC.Broker
December 2008 - October 2009 · 10 mos
American Portfolios Advisors, INC
April 2006 - December 2008 · 2 yrs 8 mos
American Portfolios Financial Services, INC.Broker
July 2005 - December 2008 · 3 yrs 5 mos
Wachovia Securities Financial Network, LLC
April 2002 - July 2005 · 3 yrs 3 mos
Wachovia Securities Financial Network, LLCBroker
September 2001 - July 2005 · 3 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1999 - March 2002 · 2 yrs 8 mos
Prudential Securities IncorporatedBroker
December 1994 - July 1999 · 4 yrs 7 mos
Banc One Securities CorporationBroker
January 1992 - December 1994 · 2 yrs 11 mos
Merchants Securities CompanyBroker
August 1991 - January 1992 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1989 - August 1991 · 2 yrs 5 mos
State Registrations12 states
CACOFLILINNCNEOHTNTXVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.