Kathleen A. Hoffman

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CRD#: 3106397

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.

Kathleen Ann Hoffman, who also goes by Kitty Hoffman, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 1998. Kathleen had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kitty 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.

1. HOFFMAN FINANCIAL SERVICES, INC ADDRESS: 1106 VINE STREET, STE A, PASO ROBLES CA, 93446 START DATE: 2/01/2003 40 HOURS PER MONTH/40 HOURS DURING NORMAL BUSINESS HOURS INVESTMENT RELATED 2. PASO ROBLES PLYMOUTH CONGREGATIONAL CHURCH ADDRESS: 1301 OAK STREET, PASO ROBLES, CA 93446 START DATE: 1/1/2014 1 HOURS PER MONTH/0 HOURS DURING NORMAL BUSINESS HOURS NON INVESTMENT RELATED 3. TITLE: INSURANCE ADDRESS: 1106 VINE STREET, STE A, PASO ROBLES CA, 93446 START DATE: 8/19/2021 5 HOURS PER MONTH/5 HOURS DURING NORMAL BUSINESS HOURS INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 31, 2021 - January 18, 2023

PARK AVENUE INVESTMENT ADVISORY, LLC

RIA

CRD#: 310203

PASO ROBLES, CA

Past

August 31, 2021 - January 18, 2023

PARK AVENUE SECURITIES LLC

CRD#: 46173

PASO ROBLES, CA

Past

August 21, 2017 - August 31, 2021

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Paso Robles, CA

Past

August 21, 2017 - August 31, 2021

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Paso Robles, CA

Past

July 29, 2013 - August 21, 2017

FINANCIAL WEST GROUP

RIA

CRD#: 16668

PASO ROBLES, CA

Past

May 20, 1999 - October 12, 2006

FINANCIAL WEST GROUP

RIA

CRD#: 16668

PASO ROBLES, CA

Past

October 29, 1998 - August 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

PASO ROBLES, 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".

PARK AVENUE INVESTMENT ADVISORY, LLC

CRD#: 310203 / SEC#: 801-119560

RIA

Registered Investment Advisory firm - (9/30/2020 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/21/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2005

General Securities Principal Examination

Current Firm

PARK AVENUE INVESTMENT ADVISORY, LLC

CRD#: 310203 / SEC#: 801-119560

RIA

Registered Investment Advisory firm - (9/30/2020 Approved)

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Contact information

Main Address

10 Hudson Yards, New York, NY 10001

Mailing Address

Phone number

(800) 879-6934

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PARK AVENUE INVESTMENT ADVISORY WRAP BROCHURE (3/28/2025)

PARK AVENUE INVESTMENT ADVISORY FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	362
AUM (Assets Under Management)	$ 98,287,453

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Kathleen A. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

Primary Firm SEC Registration

PARK AVENUE INVESTMENT ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2013

Series 63

Date: 10/28/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/27/1998

Series 24

Date: 6/27/2005

Current Firm

PARK AVENUE INVESTMENT ADVISORY, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE INVESTMENT ADVISORY, LLC

TRUST BUT VERIFY

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