Carolyn M. Hoffman

FARTHER

Springfield, MO 65807

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CRD#: 2980726

Professional summary

Carolyn Massie Hoffman, who also goes by Carolyn M Hoffman, Carolyn Hoffman, is a registered financial advisor currently at FARTHER located in Springfield, Missouri.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Carolyn has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carolyn M Hoffman | Carolyn Hoffman

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 Carolyn Massie Hoffman's CRS (Customer Relationship Summary).

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

January 13, 2025 - Present

FARTHER

Office #1: 3150 S. National Ave., Springfield, MO 65807

RIA

CRD#: 302050

Springfield, MO

Past

September 5, 2013 - January 7, 2025

SIGNALPOINT ASSET MANAGEMENT LLC

RIA

CRD#: 147578

SPRINGFIELD, MO

Past

February 20, 2009 - September 6, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SPRINGFIELD, MO

Past

February 20, 2009 - September 6, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SPRINGFIELD, MO

Past

July 31, 1998 - February 17, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SPRINGFIELD, MO

Past

January 26, 1998 - February 17, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SPRINGFIELD, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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

Missouri
(1/13/2025)

IAR

Texas
(1/14/2025)

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: 9/28/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/6/1998

General Securities Representative Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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

Carolyn M. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Massie Hoffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNALPOINT ASSET MANAGEMENT LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/1998

Series 63

Date: 1/20/1998

Series 7

Date: 1/6/1998

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

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