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Dale Anderson Fired by Ameriprise Financial Services

Dale Anderson (CRD #: 1828907) has been terminated by Ameriprise Financial Services in Plano, Texas. This is according to his BrokerCheck record, accessed on June 23, 2022. For details regarding his termination, keep reading.

On April 11, 2022, Ameriprise fired Dale Anderson following allegations that he violated compliance policy violations related to personal trading. FINRA Rule 3280 requires brokers provide written notice to their firm before participating in a private securities transaction.

Background Information

Dale Anderson has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

Dale Anderson has worked for the following firms:

  • Ameriprise Financial Services (CRD #: 6363)
  • Wells Fargo Advisors (CRD #: 19616)
  • CitiGroup Global Markets (CRD #: 7059)
  • Painewebber Incorporated (CRD #: 8174)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)

Kurta Law Can Help

If you worked with Dale Anderson and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.