James A. Hoffmann
Professional summary
James A Hoffmann, who also goes by James A Hoffmann, James Arthur Hoffmann, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York and JPMORGAN DISTRIBUTION SERVICES, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James A Hoffmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2000 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172November 4, 2019 - Present
JPMORGAN DISTRIBUTION SERVICES, INC.
Office #1: 277 Park Avenue, New York, NY 10172April 5, 2005 - December 31, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 7, 1998 - January 28, 2000
JPMSI
June 2, 1997 - June 23, 1998
HARRISDIRECT LLC
September 8, 1992 - June 2, 1997
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/28/2020)
(1/25/2000)
(4/22/2003)
(2/26/2002)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 10/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
JPMORGAN DISTRIBUTION SERVICES, INC.
CRD#: 104234 / SEC#: , 8-52700
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| BARTA, WENDY KAY | PRESIDENT AND DIRECTOR | 2855534 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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