Gale V. 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.
Gale Virgil Hofland was a registered financial professional .
Gale is a previously registered financial professional and started their career in finance in 1982. Gale had worked at 13 firms and has passed the Series 66, SIE, Series 7 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 19, 2014 - December 31, 2015
ALLSTATE FINANCIAL SERVICES, LLC
January 3, 2013 - June 25, 2014
PRUCO SECURITIES, LLC.
June 11, 2012 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
July 13, 2010 - May 24, 2012
EQUITABLE DISTRIBUTORS, LLC
January 4, 2010 - June 24, 2010
OSAIC WEALTH, INC.
October 23, 2009 - November 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 24, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 15, 2003 - June 3, 2005
WELLS FARGO INVESTMENTS, LLC
January 15, 2003 - June 3, 2005
WELLS FARGO INVESTMENTS, LLC
January 19, 2001 - August 23, 2002
SECURITY DISTRIBUTORS
July 2, 1998 - January 25, 2001
PACIFIC SELECT DISTRIBUTORS, LLC
October 1, 1997 - June 28, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
March 18, 1994 - October 1, 1997
USLIFE EQUITY SALES CORP.
December 10, 1982 - December 31, 1993
CADARET, GRANT & CO., 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: 11/12/1978
Registered Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
