James B. 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.
James Bryan Hoffman, who also goes by Jim Hoffman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 15 firms and has passed the Series 63, 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
December 26, 2013 - August 6, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
October 18, 2013 - August 6, 2014
ALLSTATE FINANCIAL SERVICES, LLC
July 9, 2013 - October 22, 2013
HERITAGE ADVISORY SERVICES, INC.
June 5, 2013 - October 22, 2013
HERITAGE FINANCIAL SYSTEMS, LLC
October 14, 2011 - May 10, 2013
CL WEALTH MANAGEMENT LLC
June 29, 2011 - May 10, 2013
ALLIED BEACON PARTNERS, INC.
March 25, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
March 16, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
August 25, 2010 - February 11, 2011
QA3 FINANCIAL LLC
August 25, 2010 - February 11, 2011
QA3 FINANCIAL CORP.
March 8, 2010 - September 22, 2011
COMPREHENSIVE PLANNING ADVISORS, LLC
February 1, 2010 - June 25, 2010
GRADIENT SECURITIES, LLC
May 27, 1999 - February 2, 2010
NATIONAL PLANNING CORPORATION
May 27, 1999 - February 2, 2010
NATIONAL PLANNING CORPORATION
August 12, 1994 - May 29, 1999
ADVANTAGE CAPITAL CORPORATION
May 7, 1987 - August 23, 1994
INVESTACORP, INC.
August 22, 1984 - May 20, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
