Thomas A. Hoffman

RBA WEALTH MANAGEMENT

Newport Beach, CA 92660

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CRD#: 1000278

Professional summary

Thomas Alan Hoffman, who also goes by Thomas A Hoffman, Tom Hoffman, is a registered financial advisor currently at RBA WEALTH MANAGEMENT, LLC located in Newport Beach, California and PURSHE KAPLAN STERLING INVESTMENTS located in Newport Beach, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas A Hoffman | Tom Hoffman

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.

1. RBA Wealth Management. Investment Related. 520 Newport Center Drive, Suite 740, Newport Beach, CA 92660. Investment Advice. IAR. 11/2017. 30 Hrs/Mo; 10 During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Alan Hoffman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 1, 2019 - Present

RBA WEALTH MANAGEMENT, LLC

Office #1: 520 Newport Center Drive Suite 1500, Newport Beach, CA 92660

RIA

CRD#: 291029

Newport Beach, CA

Current

November 2, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 520 Newport Center Drive Suite 740, Newport Beach, CA 92660

CRD#: 35747

Newport Beach, CA

Past

November 3, 2017 - January 3, 2018

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

August 31, 2010 - November 6, 2017

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

August 27, 2010 - November 6, 2017

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

Past

December 31, 1997 - September 7, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

December 6, 1988 - September 7, 2010

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

June 9, 1987 - January 1, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 28, 1981 - June 12, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RBA WEALTH MANAGEMENT, LLC

RBA WEALTH MANAGEMENT, LLC | RHETT ADVISORS, LLC

CRD#: 291029 / SEC#: 801-112189

RIA

Registered Investment Advisory firm - (12/20/2017 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/15/2018)

California
(11/2/2017)

IAR

California
(11/1/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/12/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/16/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/26/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 7/8/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RBA WEALTH MANAGEMENT, LLC

RBA WEALTH MANAGEMENT, LLC | RHETT ADVISORS, LLC

CRD#: 291029 / SEC#: 801-112189

RIA

Registered Investment Advisory firm - (12/20/2017 Approved)

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Contact information

Main Address

520 Newport Center Drive Suite 740, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 945-2104

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR RBA WEALTH MANAGEMENT, LLC (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,191
AUM (Assets Under Management)	$ 403,525,885

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas A. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Alan Hoffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PKS ADVISORY SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

RBA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/12/2011

Series 63

Date: 7/16/1981

SIE

Date: 10/1/2018

Series 31

Date: 1/26/2004

Series 3

Date: 7/8/1986

Series 7

Date: 6/20/1981

FINRA

Current Firm

RBA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RBA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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