Ray C. Hofer
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.
Ray Charles Hofer JR was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 1967. Ray had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 10, Series 24, Series 4, Series 9, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2008 - April 12, 2023
ROTHSCHILD INVESTMENT LLC
September 26, 2002 - November 6, 2007
MAXIM GROUP LLC
July 14, 1967 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
Primary Firm SEC Registration
ROTHSCHILD INVESTMENT LLC
CRD#: 728 / SEC#: 801-7395, 8-16429
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 7/12/1967
Registered Representative ExaminationSeries 12
Date: 12/5/1973
NYSE Branch Manager ExaminationSeries 00
Date: 7/18/1973
General Securities Principal ExaminationCurrent Firm
ROTHSCHILD INVESTMENT LLC
CRD#: 728 / SEC#: 801-7395, 8-16429
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,425 |
| AUM (Assets Under Management) | $ 2,310,915,581 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 10/13/2023 |
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.
