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Edward Hoffman

SANDERS MORRIS

Dallas, TX

·CRD# 4154319·26 years experience

Professional Summary

Edward Hoffman, who also goes by Edward Paul Hoffman Jr, Edward Paul Hoffman, is a registered financial advisor currently at SANDERS MORRIS LLC located in Dallas, Texas. Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Edward has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Edward Paul Hoffman Jr, Edward Paul Hoffman

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

SANDERS MORRIS LLC·CRD# 20580

RIA

BD

5950 Sherry Lane Suite 470, Dallas, TX 75225

March 25, 2020 - Present

SANDERS MORRIS LLC·CRD# 20580

RIA

BD

5950 Sherry Lane Suite 470, Dallas, TX 75225

March 25, 2020 - Present

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

RIA

Dallas, TX

May 12, 2017 - April 2, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

BD

Dallas, TX

May 12, 2017 - April 2, 2018

MORGAN STANLEY·CRD# 149777

RIA

Dallas, TX

November 3, 2015 - February 17, 2017

MORGAN STANLEY·CRD# 149777

BD

Dallas, TX

October 27, 2015 - February 17, 2017

DELOS INVESTMENT MANAGEMENT LLC·CRD# 145673

RIA

Dallas, TX

May 28, 2008 - November 25, 2014

NOLLENBERGER CAPITAL PARTNERS INC.·CRD# 119248

BD

New York, NY

November 1, 2005 - November 28, 2007

WELLS FARGO SECURITIES, LLC·CRD# 7665

BD

San Francisco, CA

April 25, 2005 - August 18, 2005

MONNESS CRESPI HARDT & CO., INC.·CRD# 7424

BD

New York, NY

April 7, 2000 - April 15, 2005

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Current Firm

SM

SANDERS MORRIS LLC

CUMMER MOYERS FINANCIAL SERVICES | SMH PARTNERS | SMH COLORADO | SMH CAPITAL INC. | SMH CAPITAL ADVISORS, LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS, LLC | SANDERS MORRIS MUNDY INC. | SANDERS MORRIS LLC | SANDERS MORRIS HARRIS LLC | SANDERS MORRIS HARRIS INC. | SANDERS MORRIS HARRIS | SANDERS MORRIS & MUNDY INC. | SANDERS MORRIS | KISSINGER FINANCIAL SERVICES

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

600 Travis Suite 5900, Houston, TX 77002-3003

Mailing Address

600 Travis Suite 5900, Houston, TX 77002-3003

Phone Number

(713) 250-4222

Established

Texas since 09/01/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

27

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - FOCUS ASSET MANAGEMENT PROGRAM (3/31/2026)

SANDERS MORRIS FORM ADV PART 2A 03.2026 (3/31/2026)

FORM ADV PART 2A APPENDIX 1 - MANAGED ASSET PROGRAM (MAP) WRAP FEE PROGRAM BROCHURE (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
TECTONIC FINANCIAL, INC.	PARENT COMPANY	—
KUEBLER, ERICK GEORGE REVELLE	CHIEF EXECUTIVE OFFICER	2319437
BALL, GEORGE LESTER	REGISTERED ASSOCIATE	11332
BLOCK, DAVID WILLIAM	OPERATIONS MANAGER	2327799
HUNT, DAVID LEE	CHIEF COMPLIANCE OFFICER	2772872
LYONS, PAUL DOUGLAS	FINOP, PRINCIPAL FINANCIAL OFFICER	4900585
SHERMAN, ARTHUR HAAG	MANAGER	2813406

Regulatory Assets Under Management

Total Number of Accounts

359

AUM (Assets Under Management)

$576,142,421

Disclosures

Regulatory Event

16

Civil Event

1

Arbitration

4

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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.For profit or not for profit: For-Profit Organization Name of outside business organization: FLY Holdings LLC Investment related: N Address of business: Dallas, Texas 75219 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 11/4/2013 Number of hours devoted: 30 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Founder of a Men's Grooming called FLY 2. For profit or not for profit: For-Profit Organization Name of outside business organization: Corknsligo Holdings LLC Investment related: N Address of business: Dallas, Texas 75219 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 9/15/2014 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: LLC owns a commercial warehouse. I manage communications between partners. 3. For profit or not for profit: For-Profit Organization Name of outside business organization: CANTEEN SPIRITS Investment related: N Address of business: AUSTIN TX Nature of business: READY TO DRINK BRAND Position, title, association: LIMITED PARTNER Start date of relationship: 4/20 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: LIMITED PARTNER/INVESTOR 4.For profit or not for profit: For-Profit Organization Name of outside business organization: TREATY OAKS DISTILLERY Investment related: N Address of business: DRIPPING SPRINGS TX Nature of business: DISTILLERY Position, title, association: LIMITED PARTNER Start date of relationship: 4/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: LIMITED PARTNER/INVESTOR 5.For profit or not for profit: For-Profit Organization Name of outside business organization: TEXAS REAL ESTATE FRIENDS Investment related: N Address of business: DOVER, DE Nature of business: COMMERCIAL REAL ESTATE INVESTMENT Position, title, association: MEMBER Start date of relationship: 6/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: MEMBER/OWNER

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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".

SM

SANDERS MORRIS LLC

CUMMER MOYERS FINANCIAL SERVICES | SMH PARTNERS | SMH COLORADO | SMH CAPITAL INC. | SMH CAPITAL ADVISORS, LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS, LLC | SANDERS MORRIS MUNDY INC. | SANDERS MORRIS LLC | SANDERS MORRIS HARRIS LLC | SANDERS MORRIS HARRIS INC. | SANDERS MORRIS HARRIS | SANDERS MORRIS & MUNDY INC. | SANDERS MORRIS | KISSINGER FINANCIAL SERVICES

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Dallas 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Texas
(3/25/2020)

IAR

Texas
(3/25/2020)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2015About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed May 2008About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2005About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2015About the Series 7 exam

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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EH

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