Kerry L. Hoffman

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CRD#: 1061740

Professional summary

Kerry Lee Hoffman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kerry is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Kerry had worked at 13 firms, which includes UNION CAPITAL COMPANY, LPL FINANCIAL LLC, RAYMOND JAMES & ASSOCIATES INC., UBS FINANCIAL SERVICES INC., KEYBANC CAPITAL MARKETS INC., WELLS FARGO CLEARING SERVICES LLC, AMERIPRISE ADVISOR SERVICES INC., CIBC WORLD MARKETS CORP., RODMAN & RENSHAW INC., MORGAN STANLEY DW INC., GRAYSTONE NASH INC., SHERWOOD CAPITAL INC., FIRST JERSEY SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 13, 2018 - July 3, 2019

UNION CAPITAL COMPANY

RIA

CRD#: 110301

Chicago, IL

Past

September 7, 2018 - July 3, 2019

UNION CAPITAL COMPANY

CRD#: 110301

Chicago, IL

Past

February 18, 2010 - October 17, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

MUNDELEIN, IL

Past

February 18, 2010 - October 17, 2018

LPL FINANCIAL LLC

CRD#: 6413

MUNDELEIN, IL

Past

December 6, 2007 - February 19, 2010

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MISHAWAKA, IN

Past

December 6, 2007 - February 19, 2010

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MISHAWAKA, IN

Past

February 9, 2007 - December 4, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MISHAWAKA, IN

Past

February 9, 2007 - December 4, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MISHAWAKA, IN

Past

June 28, 2002 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

MISHAWAKA, IN

Past

October 16, 2000 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

MISHAWAKA, IN

Past

October 13, 1997 - October 18, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 13, 1995 - December 17, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

January 5, 1995 - September 1, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 27, 1990 - January 12, 1995

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

October 9, 1990 - November 23, 1990

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

May 26, 1988 - January 26, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 29, 1987 - January 1, 1988

GRAYSTONE NASH, INC.

CRD#: 10635

Past

February 2, 1987 - November 13, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

September 24, 1982 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

UNION CAPITAL COMPANY

INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.

CRD#: 110301 / SEC#: 801-121320, 8-53127

RIA

Registered Investment Advisory firm - SEC (5/26/2021 Approved)

Arizona

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

California

Registered Investment Advisory firm - SEC (6/27/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Idaho

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Illinois

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/1/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/1/2021 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (5/30/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 10/3/1995

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/22/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/29/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/23/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/20/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 6/15/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

UNION CAPITAL COMPANY

INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.

CRD#: 110301 / SEC#: 801-121320, 8-53127

RIA

Registered Investment Advisory firm - SEC (5/26/2021 Approved)

Arizona

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

California

Registered Investment Advisory firm - SEC (6/27/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Idaho

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Illinois

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/1/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/1/2021 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (5/30/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/28/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

6083 E. Grant Road, Tucson, AZ 85712

Mailing Address

6083 E. Grant Road, Tucson, AZ 85712

Phone number

(520) 664-2001

Established

Arizona since 12/30/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (16 States and Territories)

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE-DECEMBER 2024 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UNION CAPITAL HOLDINGS, CORP.	PARENT COMPANY/OWNER/SHAREHOLDER
ALMADA, FRANCISCO B	DP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR	1575694
BODKIN, JOSEPH FRANCIS	DIRECTOR, DP	24606

Regulatory assets under management

Total Number of Accounts	517
AUM (Assets Under Management)	$ 177,000,000

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Kerry L. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNION CAPITAL COMPANY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

CIBC WORLD MARKETS CORP.

AMERIPRISE ADVISOR SERVICES, INC.

RODMAN & RENSHAW INC.

MORGAN STANLEY DW INC.

GRAYSTONE NASH, INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

UNION CAPITAL COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/1995

Series 65

Date: 8/22/1995

SIE

Date: 10/1/2018

Series 3

Date: 8/29/1988

Series 7

Date: 9/18/1982

Series 10

Date: 6/23/2003

Series 9

Date: 6/20/2003

Series 8

Date: 6/15/1993

Current Firm

UNION CAPITAL COMPANY

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (43 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNION CAPITAL COMPANY

TRUST BUT VERIFY

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