John A. Hoff Jr
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.
John August Hoff Jr, who also goes by John August Hoff Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2009 - May 7, 2019
NATWEST MARKETS SECURITIES INC.
April 7, 2008 - April 7, 2008
BGC FINANCIAL, L.P.
April 7, 2008 - July 30, 2009
BGC FINANCIAL, L.P.
December 10, 2007 - April 8, 2008
CANTOR FITZGERALD & CO.
February 14, 2005 - April 18, 2006
DAIWA CAPITAL MARKETS AMERICA INC.
August 17, 2004 - February 18, 2005
REFCO SECURITIES, LLC
March 1, 2004 - August 19, 2004
JEFFERIES LLC
May 8, 2002 - November 6, 2003
BANC OF AMERICA SECURITIES LLC
April 23, 2001 - May 6, 2002
BNP PARIBAS SECURITIES CORP.
February 12, 1996 - January 17, 2001
J.P. MORGAN SECURITIES INC.
February 7, 1991 - February 12, 1996
CHASE SECURITIES, INC.
August 25, 1988 - July 11, 1989
GOLDMAN SACHS & CO. LLC
April 3, 1988 - December 12, 1990
KIDDER, PEABODY & CO. INCORPORATED
August 28, 1981 - January 12, 1988
KIDDER, PEABODY & CO. INCORPORATED
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 5
Date: 10/29/1981
Interest Rate Options ExaminationCurrent Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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.
