BH
Brent H. Hoffman
NATIONS FINANCIAL GROUP
Lawrence, KS 66049
Some features on this profile are disabled
CRD#: 3082397
BH
Professional summary
Brent Herman Hoffman is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Lawrence, Kansas.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brent has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
PROVIDENCE, LLC. 3310 MESA WAY, STE. 101 LAWRENCE, KS 66049. IS INVESTMENT RELATED. NATURE OF BUSINESS IS PERSONAL CORPORATION FOR BUSINESS EXPENSES, ETC. POSITION IS OWNER. STARTED 1/1/13. APPROX 1 HR/MONTH SPENT ON BUSINESS, NONE DURING SECURITIES TRADING HRS. DUTIES ARE AS REGISTERED REPRESENTATIVE// Fifteen:22 Financial Partners. 3310 Mesa Way, Ste. 101 Lawrence, KS 66049. Is investment related. Nature of business is Investment Services. Position is Partner. Started 1-1-17. Approx 160 hrs/month spent on business, all during security trading hrs. Duties are as a Registered Representative// LAWRENCE FREE STATE HIGH SCHOOL. 4700 OVERLAND DR. LAWRENCE , KS 66049. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS EDUCATION. POSITION IS ASSISTANT COACH. START DATE 11/9/20. APPROX 60 HRS/MONTH SPECNT ON BSUINESS, NONE DURING SECURITY TRADING HRS. DUTIES ARE TO COACH WRESTLING. // DOUGLAS COUNTY, KS REPUBLICAN PARTY. 1148 VANTUYL LAWRENCE , KS 66049. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS POLITICS - REPUBLICAN PARTY(COUNTY LEVEL). POSITION IS CHAIR. STARTED 11/16/2022. APPROX. 10-20 HOURS PER MONTH SPENT ON BUSINESS WITH 5-10 HOURS DURING SECURITY TRADING HOURS. DUTIES ARE TO BUILD, EDUCATE AND ENGAGE REPUBLICANS IN LOCAL PARYT POLITICAL ISSUES.
CRS (Client Relationship Summary) - RIA
Click below to view Brent Herman Hoffman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brent Herman Hoffman'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®
NoneExperience
Current
November 17, 2010 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3310 Mesa Way Suite 101, Lawrence, KS 66049RIA
BD
CRD#: 44181
Lawrence, KS
Current
October 18, 2010 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3310 Mesa Way Suite 101, Lawrence, KS 66049RIA
BD
CRD#: 44181
Lawrence, KS
Past
November 16, 1999 - April 24, 2000
MACARTHUR STRATEGIES, INC.
BD
CRD#: 20678
IRVINE, CA
Past
April 22, 1999 - October 5, 1999
WESTCAP SECURITIES, INC.
BD
CRD#: 45250
IRVINE, CA
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/29/2010)
RR
Arizona(2/8/2013)
RR
California(10/19/2010)
RR
Colorado(12/3/2012)
RR
Florida(12/3/2012)
RR
Georgia(12/3/2012)
RR
Illinois(1/3/2011)
RR
Indiana(12/3/2012)
RR
Kansas(10/25/2010)
IAR
Kansas(11/17/2010)
RR
Maryland(3/7/2011)
RR
Minnesota(5/23/2011)
RR
Missouri(3/2/2011)
RR
Nebraska(3/8/2011)
RR
New Mexico(6/14/2011)
RR
Ohio(12/3/2012)
RR
Oklahoma(12/13/2012)
RR
Texas(3/28/2013)
IAR
Texas(2/27/2023)
RR
Washington(1/17/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
Company Information
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181Lawrence, KS 66049TRUST BUT VERIFY
Monitor Brent Hoffman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
