Dale L Rosenthal

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2011 → 11/2016
  Wells Fargo Advisors Llc
  Jefferson City, MO
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Jefferson City, MO
• 10/2022 → Present
  Wells Fargo Advisors Financial Network, Llc
  Jefferson City, MO

Previous Registrations

• 2011-06-01 → 2022-10-04
  Wells Fargo Clearing Services, Llc
  Lake Ozark, MO
  Springfield, MO
  Columbia, MO
  Lake Ozark, MO
  Frontenac, MO
• 2010-03-19 → 2011-06-09
  Msi Financial Services, Inc.
  Columbia, MO
  St. Louis, MO
  Lake Ozark, MO
• 2002-04-03 → 2007-05-01
  Stifel, Nicolaus & Company, Incorporated
  Jefferson City, MO
  Camdenton, MO
  Camdenton, MO

Other Businesses

CO-TRUSTEE FOR DECEASED UNCLE'S TRUST, INV RELATED, LINN CREEK, MO, START 8/3/2020, ZERO HOURS PER MONTH.;

Exams

• S66 Uniform Combined State Law Examination
  2010-02-17
• S65 Uniform Investment Adviser Law Examination
  2002-03-28
• S63 Uniform Securities Agent State Law Examination
  2000-06-14

Other Names

• Dale Lee Rosenthal