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LD

Lance R. Dalton

Some features on this profile are disabled
CRD#: 1944499
LD

Professional summary

Lance Reed Dalton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lance is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Lance had worked at 10 firms, which includes FORTRESS FINANCIAL GROUP LTD., LLOYD WADE SECURITIES INC., ROUND HILL SECURITIES INC., GLOBAL CAPITAL SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PAULSON INVESTMENT COMPANY LLC, PRUDENTIAL EQUITY GROUP LLC, H.J. MEYERS & CO. INC., J. W. GANT & ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 29, 1997 - August 19, 1998

FORTRESS FINANCIAL GROUP, LTD.

BD
CRD#: 42414
ISLE OF PALMS, SC
Past

July 17, 1996 - January 6, 1997

LLOYD WADE SECURITIES INC.

BD
CRD#: 39653
DALLAS, TX
Past

March 6, 1995 - June 24, 1996

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

June 2, 1994 - February 1, 1995

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

January 1, 1994 - May 9, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 23, 1992 - December 22, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 16, 1991 - May 26, 1992

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

July 17, 1991 - October 23, 1991

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 23, 1990 - July 23, 1991

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

May 23, 1989 - January 23, 1990

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/30/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1989
General Securities Representative Examination

Current Firm

FF
FORTRESS FINANCIAL GROUP, LTD.
FORTRESS FINANCIAL GROUP, LTD.

CRD#: 42414 / SEC#: , 8-49965

BD
Terminated by SEC on 02/09/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/08/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FORTRESS FINANCIAL GROUP, LTD.

CRD#: 42414

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