Michael G. Hofkin

HOFKIN CAPITAL MANAGEMENT

EDINA, MN 55435

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CRD#: 247968

Professional summary

Michael Gary Hofkin is a registered financial advisor currently at HOFKIN CAPITAL MANAGEMENT, INC. located in Edina, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. Michael has worked at 7 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Michael Gary Hofkin's CRS (Customer Relationship Summary).

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

Current

June 27, 2012 - Present

HOFKIN CAPITAL MANAGEMENT, INC.

Office #1: 200 Southdale Center, Edina, MN 55435

RIA

CRD#: 110068

EDINA, MN

Past

April 15, 1988 - May 8, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

September 21, 1977 - June 17, 1988

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

April 19, 1976 - June 19, 1977

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 719

Past

October 14, 1974 - April 1, 1976

DAIN, KALMAN & QUAIL, INCORPORATED

CRD#: 202

Past

March 10, 1972 - October 26, 1972

SCHRODER & CO. INC.

CRD#: 6112

Past

October 20, 1971 - October 26, 1974

WERTHEIM & CO.

CRD#: 3745

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(11/20/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 8/5/1982

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 10/18/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 5/1/1975

Registered Principal Examination

Current Firm

HOFKIN CAPITAL MANAGEMENT, INC.

HOFKIN CAPITAL MANAGEMENT, INC. | MONEY MANAGERS INC

CRD#: 110068 / SEC#: 801-14613

RIA

Registered Investment Advisory firm - (7/5/2012 Terminated)

Minnesota

Registered Investment Advisory firm - (6/26/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/31/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

200 Southdale Center, Edina, MN 55435

Mailing Address

Phone number

(952) 835-1185

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 82,815,769

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.

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Firm Stability Insights

Michael G. Hofkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gary Hofkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

ROBERT W. BAIRD & CO. INCORPORATED

DAIN, KALMAN & QUAIL, INCORPORATED

SCHRODER & CO. INC.

WERTHEIM & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2012

Series 63

Date: 10/5/1979

PC

Date: 8/5/1982

Series 1

Date: 10/18/1971

Series 40

Date: 5/1/1975

Current Firm

HOFKIN CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HOFKIN CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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