Michael P. Schoffelen
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.
Michael Peter Schoffelen was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2012 - June 4, 2012
ALLY SECURITIES LLC
October 6, 2004 - August 16, 2007
DEUTSCHE BANK SECURITIES INC.
October 30, 1997 - September 30, 2004
BANC OF AMERICA SECURITIES LLC
April 17, 1990 - August 15, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
November 28, 1988 - February 27, 1990
FIDELITY BROKERAGE SERVICES LLC
May 6, 1988 - December 3, 1988
TREVOR, COLE, REID, & MONROE, INC.
October 20, 1987 - October 4, 1988
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLY SECURITIES LLC
CRD#: 25988 / SEC#: , 8-42417
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLY FINANCIAL INC. | PARENT | |
| BEATON, DANIEL STEWART | CHIEF FINANCIAL OFFICER | 4240769 |
| HALSEY, KURT STUART | PRESIDENT/CEO/COO | 4282242 |
| HOLLAND, DAVID | MEMBER OF BOARD OF DIRECTORS | 6392922 |
| RHODES, DEBORAH LAURA | GENERAL COUNSEL/ASSISTANT SECRETARY | 6392194 |
| SYKES, ROBERT CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2775993 |
| TIMMERMAN, DOUGLAS RICHARD | MEMBER OF BOARD OF DIRECTORS | 6427349 |
Red Flags
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