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Robert Christian Vonhoffmann

CRD# 1547456·Registered 1986 - 2020
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Christian Vonhoffmann, who also goes by Robert Christian Vonhoffman, Chris Vonhoffmann, R Christian Vonhoffmann, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1986 - 2020. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 16, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert Christian Vonhoffman, Chris Vonhoffmann, R Christian Vonhoffmann

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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 in the financial services industry

Current & Past Employments

NUMIS SECURITIES LLC·CRD# 128471
BD
New York, NY
March 29, 2012 - April 6, 2020
NATWEST MARKETS SECURITIES INC.·CRD# 11707
BD
Stamford, CT
September 11, 2009 - February 14, 2012
ABN AMRO INCORPORATED·CRD# 15776
BD
Stamford, CT
August 11, 2009 - September 11, 2009
INVESTEC SECURITIES (US) LLC·CRD# 138421
BD
New York, NY
March 12, 2007 - August 6, 2009
AUERBACH GRAYSON & COMPANY LLC·CRD# 30761
BD
New York, NY
June 16, 2005 - March 13, 2007
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
June 29, 1998 - April 11, 2003
SBC WARBURG DILLON READ INC.·CRD# 1650
BD
Stamford, CT
September 2, 1997 - June 29, 1998
SBC WARBURG, INC.·CRD# 23745
BD
New York, NY
June 3, 1996 - September 2, 1997
S.G. WARBURG & CO. INC.·CRD# 1483
BD
New York, NY
January 17, 1989 - June 3, 1996
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
December 23, 1987 - October 3, 1988
E. F. HUTTON & COMPANY INC·CRD# 235
BD
August 19, 1986 - August 19, 1987

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Current Firm

NS
NUMIS SECURITIES LLC

NUMIS | NUMIS SECURITIES LLC | NUMIS SECURITIES INC.

CRD#: 128471 / SEC#: 8-66139
BD
Terminated by SEC on 10/25/2024

Contact Information

Established

Delaware since 09/03/2024

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
DEUTSCHE BANK SECURITIES INC.SHAREHOLDER2525
BUNZEL, JEFFREY HOPKINSDIRECTOR1106760
MASSARO, TIBERIOCFO AND FINANCIAL OPERATIONS PRINCIPAL1847137
MITCHINSON, ROSS JAMESDIRECTOR6871738
PALEOS, MICHAEL JOHNDIRECTOR5192702
POLLARD, STEVEN JAMESBOARD CHAIRMAN, DIRECTOR, CEO/CCO2987435

Disclosures

Regulatory Event

1

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2005About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 16 — NYSE Supervisory Analyst Examination

Passed May 1994About the Series 16 exam

Series 7 — General Securities Representative Examination

Passed Aug 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 2007About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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