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Dale Driggs

36 Years of Experience
West Lafayette, IN
2 DisclosuresBroker

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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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2006
Denied
Customer Dispute
January 2004
Settled
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.
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