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Detailed Report
NICHOLAS RYAN DALE
NICHOLAS DALE, Nick Dale
CRD#: 6122628
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 739 BATTLEFIELD PKWY
FORT OGLETHORPE, GA 30742
Registration History
201220142016201820202022202420262 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - 2019 (3 years)2 FIRMS2020 - 2024 (4 years)2 FIRMS2024 - Present (<1 year)BHANTZ FINANCIAL SERVICES, INC. (CRD# 46047)2012 - 2014 (1 year)IAHANTZ FINANCIAL SERVICES, INC. (CRD# 46047)2013 - 2014 (1 year)
License(s)

State Registrations

B
Alabama 3/26/2025
B
North Carolina 3/26/2025
B
Florida 3/26/2025
B
Tennessee 3/27/2025
B
Georgia 11/13/2024
B
Virginia 5/2/2025
IA
Georgia 11/15/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
739 BATTLEFIELD PKWY, FORT OGLETHORPE, GA 30742
Registered with this firm since 11/15/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
739 BATTLEFIELD PKWY, FORT OGLETHORPE, GA 30742
Registered with this firm since 11/13/2024
Previous Registration(s)
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IA
 01/06/2020 - 10/04/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chattanooga, TN
B
 01/06/2020 - 10/04/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chattanooga, TN
IA
 07/27/2016 - 12/26/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CHATTANOOGA, TN
B
 07/27/2016 - 12/26/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CHATTANOOGA, TN
IA
 09/24/2015 - 07/26/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) FLUSHING, MI
B
 09/11/2015 - 07/26/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) FLUSHING, MI
IA
 09/08/2014 - 06/22/2015 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) BAY CITY, MI
B
 09/05/2014 - 06/22/2015 CETERA INVESTMENT SERVICES LLC (CRD#:15340) Bay City, MI
IA
 03/26/2013 - 09/08/2014 HANTZ FINANCIAL SERVICES, INC. (CRD#:46047) SAGINAW, MI
B
 10/31/2012 - 09/08/2014 HANTZ FINANCIAL SERVICES, INC. (CRD#:46047) SAGINAW, MI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.