Thomas A. Hoefling
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.
Thomas Anton Hoefling was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14 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
January 17, 2017 - December 20, 2023
LIQUIDNET, INC.
October 21, 2015 - January 30, 2017
TD AMERITRADE, INC.
July 20, 2004 - October 12, 2015
NATIONAL FINANCIAL SERVICES LLC
January 3, 1995 - June 22, 2004
PERSHING ADVISOR SOLUTIONS LLC
January 23, 1984 - January 3, 1995
PERSHING LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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