Michael L. Hofe
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.
Michael Linn Hofe, who also goes by Michael L Hofe, Mike Hofe, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2000 - October 19, 2001
RUSSIAN RIVER FINANCIAL SERVICES, INC.
January 3, 1994 - July 6, 1999
LOMBARD SECURITIES INCORPORATED
March 19, 1992 - January 28, 1994
VOYA FINANCIAL ADVISORS, INC.
March 28, 1988 - March 23, 1992
INVESTORS SECURITY COMPANY, INC.
July 24, 1984 - April 5, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 24, 1984 - April 7, 1988
EQUITABLE ADVISORS, 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
Current Firm
RUSSIAN RIVER FINANCIAL SERVICES, INC.
CRD#: 41794 / SEC#: , 8-49574
Contact information
Documents
Disclosures
| Civil Event | 2 |
| Arbitration | 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.
