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Information

Firm:
Additional Firm:
Type: Dual Registration
Description

Dale Berry is a financial professional at Eagle Strategies LLC, a $4B RIA. Dale is also registered with Nylife Securities LLC. Dale has held an industry securities registration for 28 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Dale Curtis Berry has not answered any questions on Financial Q&A.

Top Guides

Dale Curtis Berry has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Eagle Strategies LLC 3 years Apr 2011 - Present
New York Life Insurance Company 9 years, 7 months Sep 2004 - Present
Nylife Securities Inc. 9 years, 7 months Sep 2004 - Present
Mony Securities Corporation 4 years, 8 months Dec 1999 - Aug 2004
MONY 4 years, 8 months Dec 1999 - Aug 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/16/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/16/2013
08/03/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 12/29/2000
General Securities Representative Examination Series 7 08/21/2000
Investment Company Products/Variable Contracts Representative Examination Series 6 01/17/1985
Uniform Securities Agent State Law Examination Series 63 01/17/1985

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions