David A. Hoffman
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.
David Asa Hoffman, who also goes by David A Hoffman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2007 - September 24, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 18, 2002 - November 19, 2007
OSAIC FS, INC.
June 10, 2002 - July 26, 2002
INTERVEST INTERNATIONAL EQUITIES CORPORATION
August 5, 1998 - June 10, 2002
CONSECO SECURITIES, INC.
April 4, 1984 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
June 6, 1980 - July 25, 1983
OLD SLIP CAPITAL MANAGEMENT, INC.
August 9, 1974 - August 19, 1978
TOWER SQUARE SECURITIES, INC.
May 1, 1973 - August 29, 1974
SYMETRA SECURITIES, INC.
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 ExaminationSeries 1
Date: 4/26/1973
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
