Richard E. Hofland
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.
Richard Eugene Hofland, who also goes by Richard E Hofland, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 4 firms and has passed the Series 63, Series 1, Series 24, Series 27, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 1992 - July 22, 1993
WALL STREET DISCOUNTS, INC.
May 17, 1989 - December 31, 1990
GENEVA SECURITIES,INC.
March 7, 1980 - May 18, 1989
SUPENA-NYMAN INVESTMENT CORPORATION
May 15, 1973 - April 7, 1980
FPC SECURITIES CORPORATION
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: 5/11/1973
Registered Representative ExaminationCurrent Firm
WALL STREET DISCOUNTS, INC.
CRD#: 8471 / SEC#: , 8-25521
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLEMING, JAMES MARTIN | DIRECTOR, PRESIDENT, SROP, CROP | 209736 |
| CHRISTENSON, SARAH THERESE | SHAREHOLDER | |
| NORMINGTON, JOHN THORNDYKE | SHAREHOLDER |
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.
