David Hoffnung
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 Hoffnung was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 1989 - December 31, 2009
CADARET, GRANT & CO., INC.
November 26, 1986 - October 2, 1989
CADARET, GRANT & CO., INC.
June 19, 1983 - July 16, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
February 27, 1982 - September 25, 1986
NATHAN & LEWIS SECURITIES, INC.
August 5, 1980 - March 17, 1982
WISE PLANNING CORP.
October 27, 1973 - August 3, 1978
PENNSYLVANIA SECURITIES COMPANY
October 27, 1972 - November 3, 1977
PROVIDENT NATIONAL EQUITIES, INC.
October 19, 1970 - January 19, 1973
PENNSYLVANIA EQUITIES CORPORATION
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 1
Date: 3/28/1957
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
