Kathleen A. Hofer
Professional summary
Kathleen Ann Hofer, who also goes by Kathleen A Hofer, Kathleen Ann Manz, is a registered financial professional currently at CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1997. Kathleen has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Ann Hofer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2016 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108July 12, 2022 - June 21, 2024
AMERICAN ALTERNATIVE CAPITAL, LLC
August 28, 2012 - March 2, 2016
CORECAP INVESTMENTS, LLC
February 15, 2011 - June 25, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
April 14, 1997 - October 20, 2009
BENTLEY-LAWRENCE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 4/3/1997
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
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