KH
Kurt L. Hoffer
CETERA INVESTMENT ADVISERS LLC
CHARLOTTE, NC 28210
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CRD#: 2044343
KH
Professional summary
Kurt Louis Hoffer, who also goes by Kurt L Hoffer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charlotte, North Carolina and CETERA WEALTH SERVICES, LLC located in Charlotte, North Carolina.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kurt has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kurt L Hoffer
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) QUEEN CITY FINANCIAL STRATEGIES; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA NAME; MANAGING DIRECTOR; APP 160 HRS/MONTH; APPX 160 HRS/MONTH DURING TRADING; ALL OF MY SUMMIT DUTIES UNDER A NEW DBA NAME 2) KLH Property Solutions LLC; NOT INVESTMENT RELATED; 2730 HAYDEN BROOKE CIR STE D204 MATTHEWS, NC 28105; REAL ESTATE- PURCHASING, OWNING AND REHABBING FOR RENTAL PROPERTIES; OWNER; 05/01/2019; APX 25 HOURS/MONTH; APX 0 HOURS/MONTH DURING TRADING; PURCHASING, OWNING REAL ESTATE FOR RENTAL INCOME. REHABBING AND SELLING PROPERTIES AS WELL. 3) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: FITNESS, START DATE: 01/2020, POSITION/TITLE/RELATIONSHIP: OWNER/TRAINER, APX NUMBER OF HOURS PER WEEK: 15 NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: GUIDE INDIVIDUALS IN THEIR EXERCISE ROUTINES. 4) NAME OF OTHER BUSINESS: ISAGENIX INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: HEALTH AND NUTRITION START DATE: 01/2020, POSITION/TITLE/RELATIONSHIP: OWNER/TRAINER, APX NUMBER OF HOURS PER WEEK: 15 NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SELLING SHAKES AND SUPPLEMENTS TO FITNESS CLIENTS; 5) NAME OF OTHER BUSINESS: JUUCE DISTRIBUTOR; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: PORTABLE CHARGERS; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: DISTRIBUTOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DISTRIBUTE JUUCE PORTABLE CHARGING STATIONS IN VENUES SO CONSUMERS MAY RENT THE PORTABLE CHARGER AT THEIR CONVENIENCE TO RECHARGE THEIR ELECTRONICS;
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Louis Hoffer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6135 Park South Dr Ste 510, Charlotte, NC 28210RIA
CRD#: 105644
CHARLOTTE, NC
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6135 Park South Dr Ste 510, Charlotte, NC 28210BD
CRD#: 13572
Charlotte, NC
Past
April 28, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 12, 2011 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
CHARLOTTE, NC
Past
May 12, 2011 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
CHARLOTTE, NC
Past
June 2, 2006 - May 4, 2011
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
CHARLOTTE, NC
Past
January 5, 2006 - June 2, 2006
THE INVESTMENT CENTER, INC.
RIA
CRD#: 17839
CHARLOTTE, NC
Past
January 5, 2006 - May 4, 2011
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
CHARLOTTE, NC
Past
May 10, 2002 - January 23, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
CHARLOTTE, NC
Past
November 12, 2001 - January 23, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
September 10, 1999 - November 9, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 1, 1996 - September 17, 1999
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
January 1, 1995 - January 1, 1996
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
December 5, 1990 - January 5, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 5, 1990 - January 5, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(10/22/2025)
RR
District of Columbia(9/20/2019)
RR
Florida(9/23/2019)
RR
Georgia(9/20/2019)
RR
Indiana(4/1/2021)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/23/2019)
IAR
North Carolina(6/29/2023)
RR
Ohio(10/17/2019)
RR
Oregon(1/15/2020)
RR
Pennsylvania(9/20/2019)
RR
South Carolina(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Virginia(9/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
