Thomas G. Hoffman

NETHERBY ADVISORS LLC

Westport, CT 06880

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CRD#: 1490707

Professional summary

Thomas Grant Hoffman is a registered financial advisor currently at NETHERBY ADVISORS LLC located in Westport, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Thomas has worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ELECTED TO THE BOARD OF MANAGERS OF FAIRMOUNT CEMETERY ASSOCIATION OF NEWARK AND SOMERSET HILLS, 620 CENTRAL AVENUE, NEWARK, NJ 07107, ON JUNE 7, 2018. CURRENTLY VICE-CHAIR OF THE BOARD OF MANAGERS, CO-CHAIR OF THE INVESTMENT AND FINANCIAL MANAGEMENT COMMITTEE, AND MEMBER OF THE INSURANCE AND RISK MANAGEMENT COMMITTEE. THE BUSINESS PROVIDES INTERMENT AND ENTOMBMENT OF HUMAN REMAINS, CREMATORY SERVICES, AND MAINTENANCE/PRESERVATION OF MAUSOLEUM AND CEMETERY GROUNDS FOR ITS TWO LOCATIONS IN NEW JERSEY. IT IS NOT AN INVESTMENT-RELATED BUSINESS. APPROXIMATELY 5 HOURS PER MONTH ARE DEVOTED TO THIS BUSINESS AND TWO HOURS DURING SECURITIES TRADING HOURS. DUTIES INCLUDE ATTENDING BOARD MEETINGS, REVIEWING MANAGEMENT REPORTS REGARDING THE BUSINESS AND INVESTMENTS, TOGETHER WITH THE OTHER BOARD MEMBERS SETTING POLICIES, MONITORING AND MAKING RECOMMENDATIONS TO MANAGEMENT, AND HIRING/MONITORING THE OUTSIDE ADVISOR MANAGING THE CEMETERY'S INVESTMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Grant Hoffman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 16, 2012 - Present

NETHERBY ADVISORS LLC

Office #1: 943 Post Road East, Westport, CT 06880

RIA

CRD#: 148827

Westport, CT

Past

February 9, 1996 - February 29, 2008

AMG DISTRIBUTORS, INC.

CRD#: 27314

NORWALK, CT

Past

May 1, 1986 - February 21, 1989

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/16/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/8/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NETHERBY ADVISORS LLC

CRD#: 148827 / SEC#:

Connecticut

Registered Investment Advisory firm - (2/4/2009 Approved)

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Contact information

Main Address

Trumbull, CT

Mailing Address

Phone number

(203) 227-1801

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 19,440,293

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas G. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Grant Hoffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

NETHERBY ADVISORS LLC

AMG DISTRIBUTORS, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/2000

Series 6

Date: 2/8/1996

Current Firm

NETHERBY ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NETHERBY ADVISORS LLC

TRUST BUT VERIFY

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