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BS

Bret N. Shofner

Some features on this profile are disabled
CRD#: 4143705
BS

Professional summary

Bret Nelson Shofner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bret is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Bret had worked at 6 firms, which includes GUNNALLEN FINANCIAL INC, NEWBRIDGE SECURITIES CORPORATION, NFSG CORPORATION, LADENBURG THALMANN ASSET MANAGEMENT INC, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 28, 2009 - October 15, 2009

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
BOCA RATON, FL
Past

May 26, 2009 - October 15, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
BOCA RATON, FL
Past

June 16, 2008 - October 24, 2008

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
WEST PALM BEACH, FL
Past

June 5, 2008 - October 24, 2008

NFSG CORPORATION

RIA
CRD#: 130814
BOCA RATON, FL
Past

July 14, 2004 - July 24, 2008

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
BOCA RATON, FL
Past

November 20, 2002 - June 3, 2008

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
BOCA RATON, FL
Past

October 12, 2001 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/12/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/2002
General Securities Principal Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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