Individual Firm
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ILIA MICHAEL DALEA
MICHAEL DALEA
CRD#: 2824306
IA
B
MARINER INDEPENDENTCRD#: 283824 3610 American River Dr.
Suite 120
Sacramento, CA 95864
Suite 120
Sacramento, CA 95864
LPL FINANCIAL LLCCRD#: 6413 THOUSAND OAKS, CA
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7/5/2017
Customer Dispute
Denied
State Registrations
IA
California 7/6/2016
IA
Kansas 5/1/2024
B
California 11/14/2017
B
New York 1/27/2023
B
Colorado 2/5/2018
B
Oregon 2/1/2019
B
Connecticut 8/10/2021
B
Texas 10/6/2021
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 7/6/2016
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/05/2015 - 07/06/2016 | Westlake Village, CA | |
IA | 11/25/2013 - 10/01/2015 | WESTLAKE VILLAGE, CA | |
B | 11/25/2013 - 10/01/2015 | WESTLAKE VILLAGE, CA | |
IA | 11/04/2013 - 11/25/2013 | WESTLAKE VILLAGE, CA | |
B | 11/04/2013 - 11/25/2013 | WESTLAKE VILLAGE, CA | |
IA | 02/15/2007 - 11/04/2013 | WESTLAKE VILLAGE, CA | |
B | 12/01/2004 - 11/04/2013 | WESTLAKE VILLAGE, CA | |
IA | 11/03/2003 - 10/11/2004 | BEVERLY HILLS, CA | |
B | 11/03/2003 - 10/11/2004 | NEW YORK, NY | |
IA | 06/14/2002 - 10/09/2003 | UPLAND, CA | |
B | 06/24/2002 - 10/09/2003 | WESTLAKE, TX | |
B | 11/25/1996 - 10/23/2001 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.