KH
Kerry L. Hoffman
KESTRA ADVISORY SERVICES
Boca Raton, FL 33431
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CRD#: 2224354
KH
Professional summary
Kerry L Hoffman is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.
Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kerry has worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Bus Name: WEALTH EMPOWERMENT POS: Registered Representative NOB: Registered rep activities through Kestra Investment Services INV REL: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 N Federal Hwy, Ste 400, Boca Raton FL 33431 DESC: Servicing client accounts and handling their investment needs by systematically rebalancing their portfolios according to their individual situation. Bus Name: KESTRA ADVISORY SERVICES POS: IAR/ Independent financial advisor NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 5707 SW Pkwy Bldg 2 Ste 400, Austin TX 78735 DESC: IAR, handling various clients investment needs. Bus Name: WEALTH EMPOWERMENT POSITION: Registered Representative NATURE: Insurance INVESTMENT RELATED: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 N Federal Hwy, Ste 400, Boca Raton FL 33431, United States DESCRIPTION: Servicing client accounts and handling their investment needs by systematically rebalancing their portfolios according to their individual situation.
CRS (Client Relationship Summary) - RIA
Click below to view Kerry L Hoffman'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
October 1, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2424 N Federal Hwy, Ste 400, Boca Raton, FL 33431RIA
CRD#: 283330
Boca Raton, FL
Current
October 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431BD
CRD#: 42046
Boca Raton, FL
Past
July 22, 2022 - October 30, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
BOCA RATON, FL
Past
November 4, 2020 - October 30, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
October 30, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
May 8, 2012 - November 13, 2020
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
May 2, 2012 - November 13, 2020
MORGAN STANLEY
BD
CRD#: 149777
BOCA RATON, FL
Past
August 12, 2009 - May 4, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WELLINGTON, FL
Past
November 13, 2003 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
WELLINGTON, FL
Past
June 25, 2003 - May 4, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WELLINGTON, FL
Past
December 17, 2001 - June 24, 2003
HIGH MARK SECURITIES, INC.
BD
CRD#: 42467
LAKELAND, FL
Past
November 7, 1997 - November 27, 2001
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
Past
April 8, 1996 - December 3, 1997
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
March 25, 1994 - April 11, 1996
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
April 13, 1992 - March 31, 1994
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Arizona(10/1/2024)
RR
California(10/1/2024)
RR
Colorado(3/10/2025)
RR
Connecticut(10/1/2024)
RR
Delaware(10/17/2025)
RR
Florida(10/1/2024)
IAR
Florida(10/8/2024)
RR
Georgia(10/1/2024)
RR
Illinois(11/15/2024)
RR
Indiana(10/2/2024)
RR
Kansas(10/1/2024)
RR
Maryland(10/10/2024)
RR
Massachusetts(11/6/2024)
RR
Michigan(10/1/2024)
RR
Montana(10/1/2024)
RR
Nevada(10/3/2024)
RR
New Hampshire(10/31/2024)
RR
New Jersey(10/1/2024)
RR
New York(10/1/2024)
RR
North Carolina(10/31/2024)
RR
Ohio(10/1/2024)
RR
Pennsylvania(10/1/2024)
RR
South Carolina(10/3/2024)
RR
Texas(10/1/2024)
IAR
Texas(10/1/2024)
RR
Vermont(10/1/2024)
RR
Virginia(10/1/2024)
RR
Washington(10/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Boca Raton, FL 33431TRUST BUT VERIFY
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