Gary A. Hooker

DIVERSIFIED PLANNING CONCEPTS

CORTE MADERA, CA 94925

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CRD#: 1206873

Professional summary

Gary Alan Hooker MR., who also goes by Gary Alan Hooker, Gary Alan Hooper, is a registered financial advisor currently at DIVERSIFIED PLANNING CONCEPTS, INC. located in Corte Madera, California.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Gary has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gary Alan Hooker | Gary Alan Hooper

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

OWNS DIVERSIFIED PLANNING CONCEPTS, AN RIA FIRM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Alan Hooker MR.'s CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 27, 2005 - Present

DIVERSIFIED PLANNING CONCEPTS, INC.

Office #1: Diversified Planning Concepts, Inc., Corte Madera, CA 94925

RIA

CRD#: 112229

CORTE MADERA, CA

Past

January 2, 2015 - August 5, 2016

KW SECURITIES CORPORATION

CRD#: 8237

Corte Madera, CA

Past

January 31, 1991 - December 31, 2014

OAK TREE SECURITIES, INC.

CRD#: 18126

CORTE MADERA, CA

Past

July 28, 1989 - December 31, 1990

E.F. DALY FINANCIAL GROUP

CRD#: 20434

Past

July 6, 1987 - August 3, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

May 11, 1984 - July 7, 1987

PATTERSON FINANCIAL SERVICES, INC.

CRD#: 10368

Past

November 29, 1983 - March 29, 1984

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/27/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/19/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/20/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/1984

General Securities Principal Examination

Current Firm

DIVERSIFIED PLANNING CONCEPTS, INC.

DIVERSFIED PLANNING CONCEPTS, INC | DIVERSIFIED PLANNING CONCEPTS,INC | DIVERSIFIED PLANNING CONCEPTS, INC.

CRD#: 112229 / SEC#: 801-27279

RIA

Registered Investment Advisory firm - (5/17/2005 Terminated)

California

Registered Investment Advisory firm - (4/27/2005 Approved)

Connecticut

Registered Investment Advisory firm - (12/31/2009 Terminated)

Hawaii

Registered Investment Advisory firm - (4/26/2005 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Corte Madera, CA

Mailing Address

145 Corte Madera Town Center Suite 655, Corte Madera, CA 94925

Phone number

(415) 891-8504

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 44,345,891

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Gary A. Hooker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Alan Hooker MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

KW SECURITIES CORPORATION

OAK TREE SECURITIES, INC.

E.F. DALY FINANCIAL GROUP

PFG SECURITIES, INC.

PATTERSON FINANCIAL SERVICES, INC.

FINANCIAL PLANNERS EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 6/19/1986

SIE

Date: 8/5/2016

Series 7

Date: 11/19/1983

Series 51

Date: 3/20/2003

Series 24

Date: 3/1/1984

Current Firm

DIVERSIFIED PLANNING CONCEPTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DIVERSIFIED PLANNING CONCEPTS, INC.

TRUST BUT VERIFY

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