William Canale, financial advisor Clifton Park NY
63 score

William Canale

CRD Number: 1420779
Current Firm: Dlg Wealth Management LLC

William Canale (CRD# 1420779) is an Investment Advisor Representative working at Dlg Wealth Management LLC in Clifton Park, NY and has over 29 years of experience in the finance industry.

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Company Name Location Dates Years
Dlg Wealth Management, LLC New York, NY Oct 2010 - Current 6
Dinosaur Securities New York, NY Oct 2010 - Jun 2011 < 1
Axa Advisors, LLC New York, NY Feb 2008 - Oct 2010 2
Citigroup Global Markets Inc. Niskayuna, NY Sep 1996 - Feb 2008 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1987
S65 NASAA Investment Advisors Law Examination Sep 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for William V. Canale
Phone Number: 518-348-0060
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    65
    MILLIONS
  • Total Number of Accounts
    792
    ACCOUNTS
  • Average Account Value
    $82,083
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

IN, NJ, NY, PA, TX

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BADGES
63

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