Individual Firm
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HUDSON DALE WHITMORE
CRD#: 3251580
IA
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HANTZ FINANCIAL SERVICES, INC.CRD#: 46047 3450 ALAIEDON PARKWAY
OKEMOS, MI 48864
OKEMOS, MI 48864
View By:
4/3/2017
Customer Dispute
Closed-No Action
State Registrations
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Arizona 11/5/2014
B
North Carolina 3/13/2019
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California 7/25/2014
B
Ohio 6/15/2017
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Colorado 8/17/2017
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Ohio 6/15/2017
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Florida 11/5/2014
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Texas 1/6/2022
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Florida 11/7/2014
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Virginia 7/23/2021
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Michigan 1/1/2005
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Washington 8/29/2022
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Michigan 2/2/2011
SRO Registrations
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Registered with this firm since 2/2/2011
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Registered with this firm since 7/26/1999
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.