Douglas Eric Dial

Current Employers

Capital Partners Investment Group

Altadena, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2020-05-18

CA RA
APPROVED

Since 2020-05-18

Branch Locations

Altadena, CA • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Regal Securities	Orlando	FL	05/2015	04/2018
Capital Partners	Reunion	FL	04/2018	Present

05/2015 → 04/2018

Regal Securities

Orlando, FL
04/2018 → Present

Capital Partners

Reunion, FL

Previous Registrations

2016-04-05 → 2018-04-11

Regal Advisory Services, Inc.

Orlando, FL

Glenview, IL
2014-06-19 → 2015-05-26

Advisornet Wealth Partners

Celebration, FL

Minnetonka, MN

Celebration, FL

Other Businesses

Douglas Dial Trombone; Non-investment related trombone playing in various groups; 4105 Aralia Raod Altadena CA; 01/1990-present; 10 hours per month; 0 hours during trading hours. Florida Insurance License; Investment related; Registered agent engaged in insurance sales; 4105 Aralia Road Altadena CA; 05/14-present; 1 hours per month, 1 hours during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2016-08-02
S65	Uniform Investment Adviser Law Examination	2014-05-09

S63 Uniform Securities Agent State Law Examination

2016-08-02
S65 Uniform Investment Adviser Law Examination

2014-05-09

Other Names

Douglas Dial

View on SEC IAPD