Marshall E. Hoggard
Professional summary
Marshall Eugene Hoggard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marshall is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Marshall had worked at 8 firms, which includes AVALON INVESTMENT & SECURITIES GROUP INC., CARDINAL INVESTMENTS INC., SIGNAL SECURITIES INC., WALNUT STREET SECURITIES INC., PACIFIC CLIFFS CAPITAL INC., TRANSAMERICA FINANCIAL ADVISORS LLC, FFP SECURITIES INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2000 - November 13, 2001
AVALON INVESTMENT & SECURITIES GROUP, INC.
January 2, 1996 - November 5, 1999
CARDINAL INVESTMENTS, INC.
April 4, 1995 - December 31, 1995
SIGNAL SECURITIES, INC.
December 7, 1992 - April 4, 1995
WALNUT STREET SECURITIES, INC.
September 3, 1992 - November 16, 1992
PACIFIC CLIFFS CAPITAL, INC.
November 29, 1991 - September 8, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 1, 1991 - November 14, 1991
FFP SECURITIES, INC.
July 2, 1986 - May 7, 1991
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
Red Flags
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