Kenneth C. 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.
Kenneth Cary Hoffman, who also goes by Ken Hoffman, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2018 - December 21, 2018
LIQUIDITY FINANCE LP
October 16, 2012 - January 12, 2018
SANTANDER INVESTMENT SECURITIES INC.
June 11, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
October 3, 1994 - August 1, 2012
UBS SECURITIES LLC
December 29, 1983 - May 3, 1991
LEHMAN BROTHERS INC.
December 21, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
LIQUIDITY FINANCE LP
CRD#: 167568 / SEC#: , 8-69266
Contact information
Documents
Direct owners and executive officers
Red Flags
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