Wayne A. Hoffman
Professional summary
Wayne Andrew Hoffman is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Chicago, Illinois and LBMZ SECURITIES, INC. located in Chicago, Illinois.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Wayne has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Andrew Hoffman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2018 - Present
ZACKS INVESTMENT MANAGEMENT, INC.
Office #1: 101 N. Wacker Drive Suite 1500, Chicago, IL 60606June 21, 2018 - Present
LBMZ SECURITIES, INC.
Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606April 11, 2014 - August 7, 2017
ARCHER DISTRIBUTORS, LLC
May 24, 2013 - March 31, 2014
SUPERFUND USA, LLC
August 17, 2011 - August 1, 2012
NEXBANK SECURITIES INC
August 4, 2010 - August 24, 2011
LOCORR DISTRIBUTORS, LLC
April 18, 2005 - June 24, 2009
FRED ALGER MANAGEMENT, LLC
January 5, 2005 - June 24, 2009
FRED ALGER & COMPANY, LLC
April 2, 2003 - December 15, 2004
VP DISTRIBUTORS LLC
March 12, 2001 - January 24, 2003
VP DISTRIBUTORS LLC
August 28, 2000 - February 6, 2001
METROPOLITAN LIFE INSURANCE COMPANY
August 28, 2000 - February 6, 2001
MSI FINANCIAL SERVICES, INC.
February 17, 1999 - August 16, 2000
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/30/2023)
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(6/8/2018)
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(6/7/2018)
(5/1/2023)
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(4/30/2023)
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(5/2/2023)
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(1/9/2025)
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(6/21/2018)
(1/9/2025)
Exams
FINRA
Current Firm
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
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.
