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Dale Self

Maia Wealth

Denver, CO

Indianapolis, IN

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Current Employers
Maia Wealth

1331 17Th Street Suite 800, Denver, CO 80202 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2023-01-13
TX RA APPROVED 2023-01-06
  • IN RA
    APPROVED
    Since 2023-01-13
  • TX RA
    APPROVED
    Since 2023-01-06

Branch Locations

1331 17Th Street Suite 800, Denver, CO 80202 • United States

9365 Counselors Row Suite 215, Indianapolis, IN 46240 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Indianapolis IN 10/2012 01/2023
Maia Wealth Denver CO 01/2023 Present
Previous Registrations
  • 2012-10-01 → 2023-01-08
    J.P. Morgan Securities Llc
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
  • 2012-08-07 → 2012-10-01
    Chase Investment Services Corp.
    Indianapolis, IN
    Indianapolis, IN
  • 2011-08-08 → 2012-07-31
    Td Ameritrade, Inc.
    Indianapolis, IN
  • 2011-08-08 → 2012-07-31
    Td Ameritrade Investment Management, Llc
    Indianapolis, IN
  • 2010-01-28 → 2011-08-02
    Chase Investment Services Corp.
    Carmel, IN
    Fishers, IN
  • 2003-03-05 → 2009-11-17
    Charles Schwab & Co., Inc.
    Fishers (Indianapolis), IN
    Fishers (Indianapolis), IN
Other Businesses

INSURANCE AGENT. VARIOUS CARRIERS. NOT INVESTMENT RELATED. TRADING HOURS TIME SPENT= 15 HOURS PER MONTH Managing Member of F1rst Wellness LLC, with future plans to conduct business in the health and wellness space through this entity. Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-03
S63 Uniform Securities Agent State Law Examination 1997-01-03
  • S66 Uniform Combined State Law Examination
    2003-03-03
  • S63 Uniform Securities Agent State Law Examination
    1997-01-03
Other Names
  • Dale L Self
  • Dale Leary Self

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
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