Dale Boettcher has been an investment adviser representative at Harmony Asset Management since April 2018, and is not listed among the firm’s executive officers or direct owners.
Harmony Asset Management LLC is a Scottsdale, AZ firm with $463M under management, 275 clients and 9 advisers across 5 offices, as of its March 2026 filing.
Dale Boettcher’s longest registration is the current one, 8 years at Harmony Asset Management since 2018. Before joining Harmony Asset Management in 2018, Dale Boettcher was registered through Hayden Royal and Platinum Wealth Partners.
- Harmony Asset Management LLCCurrent– present · 8 yearsTampa, FL · Adviser representative · Firm CRD 116069
- Hayden Royal– · under a yearTampa, FL · Adviser representative · Firm CRD 170037
- Platinum Wealth Partners– · under a yearTampa, FL · Adviser representative · Firm CRD 145507
- Morgan Stanley– · 5 yearsTampa, FL · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 3 yearsGulfport, FL · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 4 yearsPurchase, NY · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Dale Boettcher is registered as an investment adviser representative in 2 states. The first approvals date from April 2018; the most recent is Florida, in July 2018.
- ArizonaSince 13 April 2018
- FloridaSince 13 July 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 5 April 2011 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 15 February 2011 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 July 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 February 1984 |
| Series 7 | General Securities Representative Examination | 21 January 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Dale Joseph Boettcher
- CRD
- 1228871
- Firm
- Harmony Asset Management · CRD 116069
- Office
- 4600 W. Cypress St, Suite 110, Tampa, FL 33609
- Registration
- Investment adviser registration
- In the industry since
- July 1986
- Disciplinary history
- Not yet shown here · SEC record
Where does Dale Boettcher work?
Dale Boettcher is an investment adviser representative registered through Harmony Asset Management LLC since April 2018, and is not listed among the firm’s executive officers or direct owners.
Is Dale Boettcher a financial advisor?
Yes. Dale Boettcher has a current investment-adviser registration in Arizona and Florida, through Harmony Asset Management since April 2018.
How many years of experience does Dale Boettcher have?
Dale Boettcher has 40 years in the financial industry, since July 1986, across 6 adviser firms.
What exams has Dale Boettcher passed?
Dale Boettcher has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 9 and Series 10. The earliest, the Series 7, was passed in January 1984. FINRA credited Dale Boettcher with the SIE, which began in October 2018.
Where did Dale Boettcher work before Harmony Asset Management?
Before Harmony Asset Management, Dale Boettcher was registered through Platinum Wealth Partners, October 2017 to March 2018; Morgan Stanley, February 2011 to March 2016; Morgan Stanley & Co. Incorporated, April 2007 to June 2010; Morgan Stanley, January 2003 to April 2007.
Where is Dale Boettcher based?
Dale Boettcher’s registered office is in Tampa, FL.
Is Dale Boettcher registered with FINRA?
No. Dale Boettcher has no current broker registration.
How can I verify Dale Boettcher’s record?
Search CRD 1228871 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Dale Boettcher’s full registration record.
