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Detailed Report
BRET NELSON SHOFNER
CRD#: 4143705
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20042005200620072008200920102011IAGUNNALLEN FINANCIAL, INC (CRD# 17609)2009 - 2009 (<1 year)IANEWBRIDGE FINANCIAL SERVICES G... (CRD# 130814)2008 - 2008 (<1 year)IALADENBURG THALMANN ASSET MANAG... (CRD# 108604)2004 - 2008 (4 years)
Disclosure(s)
View By:
7/9/2010
Regulatory
Final
5/7/2010
Regulatory
Final
Previous Registration(s)
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 05/28/2009 - 10/15/2009 GUNNALLEN FINANCIAL, INC (CRD#:17609) BOCA RATON, FL
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 06/05/2008 - 10/24/2008 NEWBRIDGE FINANCIAL SERVICES GROUP, INC. (CRD#:130814) BOCA RATON, FL
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 07/14/2004 - 07/24/2008 LADENBURG THALMANN ASSET MANAGEMENT INC (CRD#:108604) BOCA RATON, FL
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B
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
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.