Steven G. 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.
Steven Gregory Hoffman was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1984. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - November 9, 2017
IMS SECURITIES, INC.
October 17, 2011 - April 27, 2015
CAPNET SECURITIES CORPORATION
April 22, 2009 - October 2, 2012
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
March 20, 2009 - October 2, 2012
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
January 2, 2003 - March 23, 2009
STANFORD GROUP COMPANY
January 2, 2003 - March 23, 2009
STANFORD GROUP COMPANY
May 27, 2002 - December 17, 2002
MORGAN STANLEY DW INC.
November 10, 1998 - December 17, 2002
MORGAN STANLEY DW INC.
April 13, 1984 - December 16, 1988
RETIREMENT INVESTMENT GROUP
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
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
