Stephen D. Hoffman
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.
Stephen Daniel Hoffman, who also goes by Steve Hoffman, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2011 - October 10, 2018
HIGGINBOTHAM RETIREMENT ADVISORS, INC.
April 5, 2006 - October 2, 2006
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
February 10, 2004 - December 14, 2005
PALMER & CAY SECURITIES CORPORATION
December 30, 2000 - April 17, 2002
MMC SECURITIES LLC
September 6, 2000 - December 30, 2000
MARSH & MCLENNAN SECURITIES CORPORATION
Primary Firm SEC Registration
HIGGINBOTHAM RETIREMENT ADVISORS, INC.
CRD#: 128561 / SEC#: 801-62750
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
Current Firm
HIGGINBOTHAM RETIREMENT ADVISORS, INC.
CRD#: 128561 / SEC#: 801-62750
Contact information
SEC notice filing (2 States and Territories)
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.
