Larry 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.
Larry Hoffman, who also goes by Lawrence Jay Hoffman, Lawrence Hoffman, Larry Jay Hoffman, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1986. Larry had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2020 - May 18, 2020
TRANSAMERICA CAPITAL, LLC
August 25, 2017 - April 25, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 30, 2017 - April 25, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 2010 - November 11, 2011
PERSHING LLC
May 11, 2009 - June 17, 2010
RBC CAPITAL MARKETS, LLC
August 10, 1989 - June 18, 2007
CHARLES SCHWAB & CO., INC.
August 4, 1987 - July 25, 1989
FLEET BROKERAGE SECURITIES, INC.
October 2, 1986 - April 11, 1987
INVESTORS CENTER, INC.
February 19, 1986 - October 13, 1986
THE STUART-JAMES COMPANY, INCORPORATED
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 8
Date: 2/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
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.
