Joan E. 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.
Joan Ellen Hoffman was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1990. Joan had worked at 12 firms and has passed the SIE, Series 24, Series 8 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2014 - April 6, 2015
NBF SECURITIES (USA) CORP.
November 26, 2013 - June 18, 2019
NATIONAL BANK OF CANADA FINANCIAL INC.
July 20, 2009 - December 19, 2011
BNY MELLON SECURITIES CORPORATION
April 30, 2008 - July 13, 2009
BNY MELLON CAPITAL MARKETS, LLC
March 4, 2008 - April 30, 2008
BNY CAPITAL MARKETS INC.
October 4, 2004 - July 20, 2007
UST SECURITIES CORP.
January 11, 2000 - September 9, 2004
DEUTSCHE BANK SECURITIES INC.
July 20, 1998 - August 31, 2001
MANORHAVEN CAPITAL LLC
June 29, 1998 - July 7, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
May 22, 1990 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
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 8
Date: 3/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NBF SECURITIES (USA) CORP.
CRD#: 25541 / SEC#: , 8-41790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NBF SECURITIES (USA) LTD | SHAREHOLDER | |
| BADESKI, PAUL RAYMOND | MANAGING DIRECTOR AND HEAD OF FIXED INCOME SALES | 2821677 |
| HOFFMAN, JOAN ELLEN | INTERIM CHIEF COMPLIANCE OFFICER | 1565558 |
| KEEGAN, RANDALL MYLES | MANAGING DIRECTOR FIXED INCOME SALES | 2216467 |
| LANGLOIS, STYVES | SENIOR VICE-PRESIDENT AND MANAGING DIRECTOR - DESIGNATED PRINCIPAL/RETAIL REGISTERED PERSONNEL | 4379409 |
| LEGRIS, ALAIN | EXECUTIVE VICE-PRESIDENT | 2253876 |
| MORRIS, PAUL EDWARD | CHIEF FINANCIAL OFFICER | 1607225 |
| MULRONEY, MARK | CO-HEAD AND MD, INSTITUTIONAL EQUITIES TRADING | 4437210 |
| NICOSIA, FRANK | INTERIM SENIOR COMPLIANCE OFFICER | 2790594 |
| PASCOE, RICARDO ALEJANDRO | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2984919 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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