Bernard J. Hoogland
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.
Bernard Justin Hoogland was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1967. Bernard had worked at 5 firms and has passed the Series 63, SIE 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
June 29, 2016 - November 5, 2019
SECURITIES RESEARCH, INC. OF FLORIDA
September 13, 2013 - July 1, 2016
MSI FINANCIAL SERVICES, INC.
January 14, 1986 - October 8, 2013
RIDGEWOOD ASSOCIATES INC. NJ
December 16, 1977 - March 10, 1986
TUCKER ANTHONY INCORPORATED
October 24, 1967 - December 23, 1977
FOSTER & ADAMS
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: 10/23/1967
Registered Representative ExaminationCurrent Firm
SECURITIES RESEARCH, INC. OF FLORIDA
CRD#: 6516 / SEC#: , 8-23699
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 14,823,000 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
