Samuel Hoff
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.
Samuel Hoff was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1984. Samuel had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2011 - December 2, 2013
NATIONAL PLANNING CORPORATION
September 14, 2011 - December 2, 2013
NATIONAL PLANNING CORPORATION
June 1, 2007 - September 15, 2011
OSAIC WEALTH, INC.
October 18, 2004 - September 15, 2011
OSAIC WEALTH, INC.
July 12, 1999 - April 30, 2009
STERLING FINANCIAL SERVICES, INC.
July 8, 1997 - October 15, 2004
OSAIC WEALTH, INC.
January 1, 1994 - October 15, 2004
OSAIC WEALTH, INC.
March 21, 1988 - January 1, 1994
CYPRESS CAPITAL CORPORATION
September 25, 1987 - March 19, 1988
JUDY & ROBINSON SECURITIES, INC
January 10, 1986 - October 8, 1987
QUOX, INCORPORATED
August 12, 1985 - December 17, 1985
CHRISTOPHER WEIL & COMPANY, INC
December 17, 1984 - August 9, 1985
RESEARCH SECURITIES, INCORPORATED
July 26, 1984 - January 11, 1985
WADDELL & REED
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
