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MH

Michael M. Hoffman

Some features on this profile are disabled
CRD#: 2286602
MH

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.

Michael Martin Hoffman, CFP® was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

August 5, 2015 - September 19, 2025

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
INDIANAPOLIS, IN
Past

January 8, 2013 - December 23, 2015

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Indianapolis, IN
Past

January 8, 2013 - September 19, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Indianapolis, IN
Past

October 17, 2011 - January 3, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
YORK, PA
Past

October 13, 2009 - January 15, 2010

VALLEY FORGE ASSET MANAGEMENT, LLC

BD
CRD#: 7438
KING OF PRUSSIA, PA
Past

May 9, 2007 - October 22, 2008

LPL FINANCIAL LLC

RIA
CRD#: 6413
HARRISBURG, PA
Past

May 9, 2007 - October 22, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
HARRISBURG, PA
Past

December 8, 2006 - June 7, 2007

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
HARRISBURG, PA
Past

December 8, 2006 - June 7, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
HARRISBURG, PA
Past

November 15, 2005 - November 20, 2006

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
HERSHEY, PA
Past

November 15, 2005 - November 20, 2006

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
HERSHEY, PA
Past

February 14, 2005 - October 19, 2005

IFMG SECURITIES, INC.

RIA
CRD#: 14416
HUMMELSTOWN, PA
Past

February 14, 2005 - October 19, 2005

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

July 19, 2004 - February 11, 2005

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
YORK, PA
Past

July 19, 2004 - February 11, 2005

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

January 4, 1993 - June 14, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 4, 1993 - June 14, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/21/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/1992
General Securities Representative Examination

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035

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Contact information

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