Timothy L. 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.
Timothy Lee Hoffman was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1996. Timothy had worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2012 - March 29, 2021
KARBONE CAPITAL MARKETS, LLC
April 21, 2006 - December 15, 2011
SMG SECURITIES, INC.
February 22, 2006 - February 23, 2006
BISMARCK CAPITAL, LLC
August 29, 2005 - January 5, 2006
NATIXIS SECURITIES AMERICAS LLC
June 25, 1996 - March 10, 2005
NATIXIS SECURITIES AMERICAS LLC
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
Current Firm
KARBONE CAPITAL MARKETS, LLC
CRD#: 150704 / SEC#: , 8-68285
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KARBONE INC. | OWNER | |
| PRUNIER, DAVID EDWARD | FINOP/COO | 1655072 |
| THORNTON, STEVEN LEE | CCO |
Disclosures
| Regulatory Event | 1 |
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.
