Erica E. Gioffre
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.
Erica Evans Gioffre, who also goes by Erica K Evans, Erica Kimberly Evans, Erica Evans, Erica Evans Gioffre, Erica Evans Jacobson Mrs., was a registered financial professional .
Erica is a previously registered financial professional and started their career in finance in 2008. Erica had worked at 5 firms and has passed the Series 65, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2018 - April 7, 2025
HIRTLE, CALLAGHAN & CO., LLC
June 29, 2016 - July 20, 2017
HARTFORD FUNDS DISTRIBUTORS, LLC
November 6, 2012 - May 31, 2016
HIMCO DISTRIBUTION SERVICES COMPANY
August 16, 2010 - July 27, 2012
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 17, 2008 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
Primary Firm SEC Registration
HIRTLE, CALLAGHAN & CO., LLC
CRD#: 105403 / SEC#: 801-32688
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
HIRTLE, CALLAGHAN & CO., LLC
CRD#: 105403 / SEC#: 801-32688
Contact information
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,746 |
| AUM (Assets Under Management) | $ 20,992,384,760 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 10/25/2023 | ||
| 02/27/2023 |
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.
