Howard 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.
Howard Charles Hoffman, who also goes by Howard Charles Hoffman Jr, Howard Charles Hoffman, Hoffman, Howard Hoffman, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1987. Howard had worked at 13 firms and has passed the Series 6TO, SIE 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
June 17, 2019 - September 3, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 18, 2017 - January 18, 2018
PRUCO SECURITIES, LLC.
June 3, 2016 - August 4, 2016
MML INVESTORS SERVICES, LLC
December 12, 2011 - December 15, 2014
AMERITAS INVESTMENT COMPANY, LLC
August 16, 2010 - December 1, 2011
PRINCIPAL SECURITIES, INC.
August 11, 2008 - September 14, 2010
AMERITAS INVESTMENT COMPANY, LLC
January 8, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 8, 2007 - July 28, 2008
MSI FINANCIAL SERVICES, INC.
December 10, 2004 - January 12, 2007
PARKLAND SECURITIES, LLC
March 9, 2004 - December 1, 2004
NEW ENGLAND SECURITIES
April 25, 2002 - March 5, 2004
PARK AVENUE SECURITIES LLC
June 26, 1992 - March 13, 2002
SECURIAN FINANCIAL SERVICES, INC.
January 10, 1990 - September 9, 1991
MUTUAL SERVICE CORPORATION
April 21, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
April 21, 1987 - August 23, 1989
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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 6TO
Date: 3/15/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
