Christopher K. Hoffarth

MODERN WEALTH MANAGEMENT

Rochester, NY 14604

Some features on this profile are disabled

CRD#: 3208783

Professional summary

Christopher Kevin Hoffarth, who also goes by Christopher Kevin Hoffarth, Christopher Hoffarth, is a registered financial advisor currently at MODERN WEALTH MANAGEMENT, LLC located in Rochester, New York.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Christopher has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Kevin Hoffarth | Christopher Hoffarth

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.

1/2022: Beltz, Ianni, & Associates - DBA for Mutual Securities Inc. / Investment Related / Rochester, NY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Kevin Hoffarth'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

February 29, 2024 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: One Bausch & Lomb Place Suite 920, Rochester, NY 14604

RIA

CRD#: 324624

Rochester, NY

Past

January 2, 2024 - March 13, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCHESTER, NY

Past

April 8, 2022 - March 13, 2024

LPL FINANCIAL LLC

CRD#: 6413

ROCHESTER, NY

Past

November 8, 2021 - February 4, 2022

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

PITTSFORD, NY

Past

November 2, 2021 - November 2, 2021

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

PITTSFORD, NY

Past

August 20, 2021 - November 29, 2021

QCI ASSET MANAGEMENT INC

RIA

CRD#: 110324

PITTSFORD, NY

Past

October 18, 2007 - June 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

ROCHESTER, NY

Past

July 8, 2002 - November 2, 2005

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

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".

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 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

New York
(2/29/2024)

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: 12/29/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/30/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 4/8/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/11/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/5/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 Approved)

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

13550 W 95th St., Lenexa, KS 66227

Mailing Address

Phone number

(913) 393-1000

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	18,823
AUM (Assets Under Management)	$ 6,148,915,787

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.

Similar Advisors

Mark Downey

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Rochester, NY

Donald Devitto

RBC CAPITAL MARKETS, LLC

IAR

Rochester, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher K. Hoffarth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Kevin Hoffarth's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

QCI ASSET MANAGEMENT INC

UVEST FINANCIAL SERVICES GROUP, INC.

CLARK SECURITIES, INC.

Primary Firm SEC Registration

MODERN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2023

Series 63

Date: 4/30/2022

Series 6TO

Date: 4/8/2022

SIE

Date: 3/11/2022

Series 6

Date: 7/5/2002

Current Firm

MODERN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors