Karl G. Hale
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.
Karl Grant Hale was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1970. Karl had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 1987 - August 24, 1988
PFG SECURITIES, INC.
June 6, 1984 - August 28, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
July 13, 1982 - July 27, 1983
WS GRIFFITH SECURITIES, INC.
February 25, 1975 - October 15, 1986
HOME LIFE INSURANCE COMPANY
December 15, 1971 - March 4, 1974
SURETY SECURITIES CORPORATION
May 4, 1970 - December 10, 1971
EQUITY SERVICES, 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
Exams
Series 1
Date: 1/3/1970
Registered Representative ExaminationCurrent Firm
PFG SECURITIES, INC.
CRD#: 15401 / SEC#: , 8-32122
Contact information
Documents
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.
