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Robert C. Vonhoffmann

Some features on this profile are disabled
CRD#: 1547456
RV

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.

Robert Christian Vonhoffmann, who also goes by Robert Christian Vonhoffman, Chris Vonhoffmann, R Christian Vonhoffmann, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 16, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Christian Vonhoffman | Chris Vonhoffmann | R Christian Vonhoffmann

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

March 29, 2012 - April 6, 2020

NUMIS SECURITIES LLC

BD
CRD#: 128471
NEW YORK, NY
Past

September 11, 2009 - February 14, 2012

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

August 11, 2009 - September 11, 2009

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

March 12, 2007 - August 6, 2009

INVESTEC SECURITIES (US) LLC

BD
CRD#: 138421
NEW YORK, NY
Past

June 16, 2005 - March 13, 2007

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

June 29, 1998 - April 11, 2003

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

June 3, 1996 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

January 17, 1989 - June 3, 1996

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
NEW YORK, NY
Past

December 23, 1987 - October 3, 1988

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

August 19, 1986 - August 19, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 5/25/1994
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/2007
General Securities Principal Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/03/2024
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

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 Event1

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.

Company Information

NUMIS SECURITIES LLC

CRD#: 128471

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