Jack A. 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.
Jack A Hoffman was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1986. Jack had worked at 8 firms and has passed the Series 63, Series 79TO, Series 72, SIE, Series 52, Series 62, Series 22, Series 6 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
May 26, 2022 - September 30, 2024
COMMERCE BROKERAGE SERVICES, INC.
April 22, 2022 - May 26, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 27, 1994 - December 17, 2019
ICBA SECURITIES
September 1, 1994 - April 22, 2022
VINING-SPARKS IBG, LLC
June 9, 1993 - August 10, 1994
FIRST INSTITUTIONAL SECURITIES, L.L.C.
March 3, 1993 - June 16, 1993
M.G.S.I. SECURITIES, INC.
August 11, 1992 - March 4, 1993
FIRST INSTITUTIONAL SECURITIES, L.L.C.
November 12, 1986 - April 22, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 12, 1986 - April 22, 1991
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 62
Date: 9/2/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
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.
