RH
Richard S. Hoffman
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CRD#: 1198098
RH
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.
Richard Scott Hoffman was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
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®
NoneExperience
Past
October 10, 2013 - October 15, 2013
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
MEMPHIS, TN
Past
March 8, 2013 - October 10, 2013
FTB ADVISORS, INC.
RIA
CRD#: 143830
MEMPHIS, TN
Past
March 4, 2013 - October 15, 2013
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
MEMPHIS, TN
Past
January 13, 2012 - December 17, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LOUISVILLE, KY
Past
January 12, 2012 - December 17, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LOUISVILLE, KY
Past
January 3, 2011 - December 13, 2011
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
October 18, 2010 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
Past
June 1, 2009 - September 30, 2010
MORGAN STANLEY
RIA
CRD#: 149777
LOUISVILLE, KY
Past
June 1, 2009 - September 30, 2010
MORGAN STANLEY
BD
CRD#: 149777
LOUISVILLE, KY
Past
March 5, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOUISVILLE, KY
Past
March 5, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOUISVILLE, KY
Past
October 21, 1983 - March 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
165 Madison Avenue 3rd Floor, Memphis, TN 38117
Mailing Address
165 Madison Avenue 14th Floor, Memphis, TN 38103
Phone number
(901) 818-6000
Established
Tennessee since 10/24/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
239
SEC notice filing (40 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 13,617,534,771 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/16/2024 | ||
| 12/21/2023 |
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.
