Dale R. Haithcock

Current Employers

Employment History

• 04/2005 → Present
  Auxi Asset Management, Llc
  San Francisco, CA
• 05/2012 → 10/2020
  Mutual Securities, Inc
  Camarillo, CA
• 10/2020 → Present
  Triad Advisors
  Norcross, GA

Previous Registrations

• 2011-11-03 → 2012-06-07
  Stifel, Nicolaus & Company, Incorporated
  San Francisco, CA
• 2011-11-08 → 2012-06-07
  Stone & Youngberg Llc
  San Francisco, CA
• 2004-09-10 → 2011-11-03
  Stone & Youngberg Llc
  San Francisco, CA
  San Francisco, CA
• 2005-03-11 → 2008-12-24
  S & Y Asset Management Llc
  San Francisco, CA
  San Francisco, CA
  San Francisco, CA
• 2002-11-21 → 2004-10-01
  Quick & Reilly, Inc.
  San Francisco, CA
• 1998-11-18 → 2002-08-15
  Robertson Stephens, Inc.
  San Francisco, CA

Other Businesses

1)Auxi Asset Management;investment related;402 Railroad Ave,Suite 201,Danville,CA 94526;registered investment advisory;managing member;5/2012;110 hrs/month;3 hrs during trading;manage investment portfolios of equities,ETFs & mutual funds for hnw clients

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-02-18
• S65 Uniform Investment Adviser Law Examination
  1993-11-10

Other Names

• Dale Haithcock