Donald 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.
Donald Hoffman was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 9 firms and has passed the Series 63, SIE, Series 5, PC, Series 1, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2005 - June 30, 2015
J.P. TURNER & COMPANY, L.L.C.
April 20, 2001 - December 16, 2005
JANNEY MONTGOMERY SCOTT LLC
February 16, 1990 - April 23, 2001
FIRST COLONIAL SECURITIES
January 19, 1982 - February 27, 1990
CITIGROUP GLOBAL MARKETS INC.
February 21, 1979 - January 21, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1977 - March 22, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
December 11, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
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 5
Date: 6/28/1982
Interest Rate Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 12/8/1969
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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