Robert C. 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.
Robert C Hoffman, who also goes by Robert Charles Hoffman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2022 - February 7, 2022
ONEAMERICA SECURITIES, INC.
November 4, 2021 - February 7, 2022
ONEAMERICA SECURITIES, INC.
December 9, 2014 - July 26, 2019
ONEAMERICA SECURITIES, INC.
November 26, 2014 - July 26, 2019
ONEAMERICA SECURITIES, INC.
March 1, 2013 - May 1, 2014
FIRST FOUNDATION ADVISORS
January 20, 2011 - January 2, 2013
U.S. BANCORP INVESTMENTS, INC.
June 23, 2003 - August 3, 2010
WELLS FARGO INVESTMENTS, LLC
May 25, 2001 - August 19, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - August 3, 2010
WELLS FARGO INVESTMENTS, LLC
September 24, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 25, 1995 - July 28, 1999
MML INVESTORS SERVICES, LLC
June 14, 1994 - June 15, 1995
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | |
| BICKEL, KORY LLOYD | CHIEF COMPLIANCE OFFICER | 5424722 |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| FLEETWOOD, MATTHEW THOMAS | CHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR | 4109266 |
| HARTLEY, BRYAN KEITH | FINOP | 5664171 |
| HOYLE, JASON ANDREW | DIRECTOR | 6027238 |
| JUNKER, DAVID A | DIRECTOR | 2442538 |
| LIONBERGER, TAYLOR W | SALES DEVELOPMENT DIRECTOR | 5931321 |
| MCGOFF, SEAN PATRICK | CHIEF COUNSEL & SECRETARY | 5801826 |
| SANDELSKI, DENNIS JOSEPH | AVP, TAX | 7244469 |
| SMILEY, ERIC DAVID | VP, DIRECTOR OF OPERATIONS | 2978413 |
| SNYDER, DANIEL R | TREASURER | 7318687 |
| WEYER, SHAUN CHRISTOPHER | SALES DEVELOPMENT DIRECTOR | 4607359 |
| YANG, CHUANMING | CHIEF INFORMATION SECURITY OFFICER | 7527042 |
Regulatory assets under management
| Total Number of Accounts | 2,118 |
| AUM (Assets Under Management) | $ 299,940,768 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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