DAVID DEAN HOEFFERLE is currently employed as a Broker and/or Investment Adviser at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located at 4763 E CAMP LOWELL DR, TUCSON, AZ, 85712.
DAVID DEAN HOEFFERLE has worked at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER since August 12, 2008
Disclosure History
DAVID DEAN HOEFFERLE has 1 Disclosure Event(s).
Date: August 12, 2008 Category: Employment Separation After Allegations Firm Name: ADVANTAGE CAPITAL CORPORATION Termination Type: Permitted to Resign Allegations: REPRESENTATIVE VIOLATED FIRM POLICY BY FAILING TO CORRECT AUDIT FINDINGS PROMPLTY. Broker Comment: I IMMEDIATELY RESPONDED TO ALL AUDIT FINDINGS BY CORRECTING THE REPORTED CLERICAL ISSUES. FIRM MANAGEMENT GAVE FURTHER DIRECTIONS AND DID NOT RESPOND TO MY QUESTIONS WHEN I ASKED FOR CLARIFICATION.
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