Daniel Hofmann
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.
Daniel Hofmann, who also goes by Daniel Frank Hofmann, Daniel Hofmann, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2021 - December 1, 2023
ASCENSUS BROKER DEALER SERVICES, LLC
March 28, 2017 - December 6, 2019
TRUSTAGE INVESTMENT MANAGEMENT
March 28, 2017 - December 6, 2019
CUNA BROKERAGE SERVICES, INC.
January 31, 2014 - March 17, 2017
CETERA INVESTMENT ADVISERS LLC
January 29, 2014 - January 31, 2014
CETERA INVESTMENT SERVICES LLC
May 23, 2013 - March 17, 2017
CETERA INVESTMENT SERVICES LLC
January 20, 2012 - May 30, 2013
LPL FINANCIAL LLC
March 27, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 31, 2007 - March 10, 2008
NEWPORT GROUP SECURITIES, INC.
November 26, 2001 - April 17, 2006
LASALLE ST SECURITIES, L.L.C.
November 10, 2000 - April 18, 2001
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
November 14, 1995 - April 28, 2000
UBS FINANCIAL 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
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
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.
