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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

DALE L MALLECK

Advisor at WELLS FARGO ADVISORS

APACHE JUNCTION, AZ | SCOTTSDALE, AZ | CHANDLER, AZ

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Search this name across graphsid dfx:ria:360ff706-654f-e9a9-5df6-824ec7fa3087

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 4, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 19, 2012
First registration: Dec 4, 2013
Dual registered: yes, broker-dealer
Other names: DALE LOUIS MALLECK
IAPD individual key: 6133133

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Dec 20, 2024	n/a	yes	APACHE JUNCTION, AZ\|SCOTTSDALE, AZ\|CHANDLER, AZ	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 19, 2023	Dec 24, 2024	no	TEMPE, AZ\|PHOENIX, AZ	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Jun 17, 2015	Jul 25, 2023	no	LINCOLN, NE\|LINCOLN, NE\|LINCOLN, NE\|LINCOLN, NE\|BEATRICE, NE\|OMAHA, NE\|TEMPE, AZ\|OMAHA, NE	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 4, 2013	May 13, 2015	no	LINCOLN, NE\|OMAHA, NE\|LINCOLN, NE\|OMAHA, NE\|NORFOLK, NE	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Dec 24, 2024	Dec 20, 2024	-4	Firm change	Ibd to wirehouse
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 25, 2023	Jul 19, 2023	-6	Bulk transfer	Ibd to ibd
WELLS FARGO ADVISORS	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	May 13, 2015	Jun 17, 2015	35	Firm change	Other

Relationships

Registered with (3)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 4, 2013 to May 13, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 19, 2023 to Dec 24, 2024factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Jun 17, 2015 to Jul 25, 2023factForm ADV

Dated events

Occurred
Dec 24, 2024
Advisor changed firm
Dale L Malleck left Lpl Financial Llc for Wells Fargo Advisors (registered 2024-12-20)
Form ADVobserved 4 days ago