Gordon R. Hoffmann
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.
Gordon Russell Hoffmann, who also goes by Gordon Russell Hoffman, Gordy Hoffmann, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1993. Gordon had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2010 - July 10, 2012
FIRST LIBERTIES FINANCIAL
May 30, 2006 - July 13, 2010
WORKMAN SECURITIES CORPORATION
September 14, 2004 - September 14, 2004
USALLIANZ SECURITIES, INC.
September 14, 2004 - June 2, 2006
USALLIANZ SECURITIES, INC.
February 9, 1995 - December 13, 2004
AVANTAX ADVISORY SERVICES
October 8, 1993 - October 1, 2004
AVANTAX INVESTMENT SERVICES, 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
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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.
