Stephen Hoefling
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.
Stephen Hoefling, who also goes by Stephen Robert Hoefling, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2023 - March 4, 2025
FUTU CLEARING INC
January 7, 2021 - September 15, 2023
WELLS FARGO CLEARING SERVICES, LLC
July 8, 2019 - February 11, 2020
VELOX CLEARING LLC
December 22, 2010 - April 4, 2018
SCOTTRADE, INC.
December 5, 2003 - November 1, 2010
TRADESTATION SECURITIES, INC.
June 12, 2002 - May 1, 2003
INVESTMENT CENTERS OF AMERICA, INC.
November 1, 2001 - May 2, 2002
SECU BROKERAGE SERVICES
August 14, 2000 - October 11, 2001
AVANZA CAPITAL MARKETS INC.
July 9, 1996 - April 19, 2000
LPL FINANCIAL LLC
August 20, 1987 - March 8, 1995
CHARLES SCHWAB & CO., INC.
May 21, 1987 - August 4, 1987
CLAYTON, POLLEYS & CO., 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: 6/28/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FUTU CLEARING INC
CRD#: 298769 / SEC#: , 8-70215
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
