Nicholas John Hoffman
Professional Summary
Nicholas John Hoffman, who also goes by Nicholas J Hoffman, is a registered financial advisor currently at NICHOLAS HOFFMAN & COMPANY, LLC located in Atlanta, Georgia. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 62, Series 6 and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas J Hoffman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FAMILY CFO, LLC | NICHOLAS HOFFMAN & COMPANY, LLC
Contact Information
Main Address
Two Midtown Plaza 1349 West Peachtree Street St. Nw, Suite 1050, Atlanta, GA 30309-2929Mailing Address
1355 Peachtree Street Suite 1450, Atlanta, GA 30309Phone Number
(404) 815-5050# of Employees
25SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,233AUM (Assets Under Management)
$8,262,465,273Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2024 | Cover Page | Report |
| 10/17/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FAMILY CFO, LLC | NICHOLAS HOFFMAN & COMPANY, LLC
State Registrations and Notice Filings
(5/14/2008)
(1/22/2014)
(2/27/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Sep 1988Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1987About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Aug 1986About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas John Hoffman's CRS (Customer Relationship Summary).
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