Hope A. Hoch
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.
Hope Ann Hoch was a registered financial professional .
Hope is a previously registered financial professional and started their career in finance in 1992. Hope had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2024 - October 3, 2025
CETERA INVESTMENT ADVISERS LLC
October 18, 2024 - October 3, 2025
CETERA INVESTMENT SERVICES LLC
March 25, 2013 - November 1, 2024
LPL FINANCIAL LLC
March 15, 2013 - November 1, 2024
LPL FINANCIAL LLC
June 23, 2011 - March 21, 2013
PNC WEALTH MANAGEMENT LLC
June 13, 2011 - March 21, 2013
PNC WEALTH MANAGEMENT LLC
January 31, 2011 - June 17, 2011
TUTTLE WEALTH MANAGEMENT, LLC
September 2, 2005 - November 2, 2010
INVESTMENT CENTERS OF AMERICA, INC.
September 1, 2005 - November 2, 2010
INVESTMENT CENTERS OF AMERICA, INC.
May 19, 2003 - September 7, 2005
LPL FINANCIAL LLC
March 14, 2003 - September 7, 2005
LPL FINANCIAL LLC
July 30, 2002 - January 16, 2003
AMSOUTH INVESTMENT SERVICES, INC.
April 12, 2001 - October 8, 2001
MORGAN KEEGAN & COMPANY, LLC
May 6, 1999 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
November 2, 1998 - May 4, 1999
FIRST UNION BROKERAGE SERVICES, INC.
January 21, 1998 - October 15, 1998
FASCO INTERNATIONAL, INC.
May 21, 1996 - May 28, 1997
AMSOUTH INVESTMENT SERVICES, INC.
February 28, 1995 - December 15, 1995
NATIONSSECURITIES
November 15, 1994 - December 22, 1994
RAYMOND JAMES & ASSOCIATES, INC.
June 9, 1993 - October 24, 1994
INVEST FINANCIAL CORPORATION
August 26, 1992 - June 9, 1993
MARKETING ONE SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
