Paul R. Hoffman
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CRD#: 1219596
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.
Paul Richard Hoffman, CFP® was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Investment Planning
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.
1) 06/03/2010: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 2% TIME SPENT - I sell traditional life insurance, LTC insurance, and fixed annuities. 2) 1/26/2022 - Next Third Retirement Coaching - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/25/2022 - 160 Hours Per Month/140 Hours During Securities Trading. 3) 04/25/2022 - Turn Key Property Rentals - Investment Related - Neenah WI 54956 - Real Estate Rental - Start Date - 02/21/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading. 4) 06/06/2022 - 2009 Memorial Dr LLC - Investment Related - Appleton WI 54915 - Real Estate Rental - Start Date - 06/01/2022 -1 Hours Per Month/ 1 Hours During Securities Trading. 5) 10/04/2022 - Bird Bath Rentals - Investment Related - Appleton WI 54911 - Real Estate Rental - Start Date - 10/10/2022 - 0 Hours Per Month/0 Hours During Securities Trading
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®
CFP®
Start date: 1987
Experience
Past
May 6, 2022 - December 16, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
APPLETON, WI
Past
October 29, 2014 - May 19, 2022
ADVISORS' PRIDE INC.
RIA
CRD#: 170669
APPLETON, WI
Past
July 26, 2010 - December 23, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
APPLETON, WI
Past
July 26, 2010 - December 16, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
APPLETON, WI
Past
January 27, 2009 - July 21, 2009
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
APPLETON, WI
Past
November 8, 1989 - July 21, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
APPLETON, WI
Past
May 28, 1987 - January 1, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
January 25, 1984 - May 22, 1987
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
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".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
