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LH

Lawrence M. Hoffman

Some features on this profile are disabled
CRD#: 247827
LH

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.

Lawrence Michael Hoffman was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1970. Lawrence had worked at 10 firms and has passed the Series 63 and Series 1 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®
None

Experience

Past

January 3, 1989 - September 13, 1991

MONMOUTH INVESTMENTS, INC.

BD
CRD#: 14047
Past

May 11, 1988 - November 15, 1988

MONMOUTH INVESTMENTS, INC.

BD
CRD#: 14047
Past

November 12, 1986 - May 6, 1988

NICHOLAS, LAWRENCE & CO. INC.

BD
CRD#: 17482
Past

July 16, 1986 - November 24, 1986

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
Past

December 12, 1984 - January 16, 1986

HOMESTEAD SECURITIES, INC.

BD
CRD#: 15162
Past

March 23, 1984 - August 24, 1984

HILL THOMPSON MAGID & CO., INC.

BD
CRD#: 2202
Past

May 5, 1980 - February 16, 1984

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
Past

February 24, 1978 - February 19, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 16, 1973 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

May 17, 1971 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 209
Past

November 5, 1970 - May 15, 1971

LOEB, RHOADES & CO. INC.

BD
CRD#: 525

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
RR
Series 63
Date: 8/9/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 9/6/1968
Registered Representative Examination

Current Firm

MI
MONMOUTH INVESTMENTS, INC.
BROWN, HILL & ZULIANI SECURITIES, INC. | MONMOUTH INVESTMENTS, INC. | HILL SECURITIES INC. | CENTRAL INVESTMENT CO., LTD

CRD#: 14047 / SEC#: , 8-24245

BD
Cancelled by FINRA on 09/13/1991
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 08/31/1979
Firm type
Corporation
Fiscal year end
August
# of Employees

Documents

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

MONMOUTH INVESTMENTS, INC.

CRD#: 14047

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