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GG

Glen P. Gale

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CRD#: 1265399
GG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Glen Paul Gale was a registered financial professional .

Glen is a previously registered financial professional and started their career in finance in 1986. Glen had worked at 6 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2012 - December 31, 2013

AVALON INVESTMENT & SECURITIES GROUP, INC.

BD
CRD#: 6281
MUSCLE SHOALS, AL
Past

August 4, 2009 - December 31, 2011

HBW SECURITIES LLC

BD
CRD#: 136959
CHICAGO, IL
Past

January 22, 2009 - July 7, 2009

COUNTRY CAPITAL MANAGEMENT COMPANY

BD
CRD#: 12060
EVANSTON, IL
Past

October 9, 2007 - December 31, 2008

HBW SECURITIES LLC

BD
CRD#: 136959
CHICAGO, IL
Past

January 3, 2006 - September 27, 2007

CCF INVESTMENTS, INC.

BD
CRD#: 136571
GREENSBORO, GA
Past

November 26, 2002 - December 31, 2005

THE LEADERS GROUP, INC.

BD
CRD#: 37157
LITTLETON, CO
Past

May 30, 1986 - November 21, 2002

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/30/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/29/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
AVALON INVESTMENT & SECURITIES GROUP, INC.
AVALON INVESTMENT & SECURITIES GROUP, INC. | DAS A. BORDEN & ASSOCIATES

CRD#: 6281 / SEC#: , 8-17078

BD
Cancelled by SEC on 06/14/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 03/31/1972
Firm type
Corporation
Fiscal year end
March
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BORDEN, DAS ARNOLDPRESIDENT, AND 100 % OWNER26096
BORDEN, DAS ARNOLDCHIEF EXECUTIVE OFFICER26096
ANDERS, WILLIAM TROY IIICHIEF COMPLIANCE OFFICER4170321

Disclosures

Regulatory Event14

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.

Company Information

AVALON INVESTMENT & SECURITIES GROUP, INC.

CRD#: 6281

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