EH
Edward Hoffman
SANDERS MORRIS LLC
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 4154319
EH
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Edward Paul Hoffman Jr | Edward Paul 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.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
CRS (Client Relationship Summary) - RIA
Click below to view Edward Hoffman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward 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
March 25, 2020 - Present
SANDERS MORRIS LLC
Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225RIA
BD
CRD#: 20580
Dallas, TX
Current
March 25, 2020 - Present
SANDERS MORRIS LLC
Office #1: 5950 Sherry Lane Suite 470, Dallas, TX 75225RIA
BD
CRD#: 20580
Dallas, TX
Past
May 12, 2017 - April 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
May 12, 2017 - April 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
November 3, 2015 - February 17, 2017
MORGAN STANLEY
RIA
CRD#: 149777
DALLAS, TX
Past
October 27, 2015 - February 17, 2017
MORGAN STANLEY
BD
CRD#: 149777
DALLAS, TX
Past
May 28, 2008 - November 25, 2014
DELOS INVESTMENT MANAGEMENT LLC
RIA
CRD#: 145673
DALLAS, TX
Past
November 1, 2005 - November 28, 2007
NOLLENBERGER CAPITAL PARTNERS INC.
BD
CRD#: 119248
NEW YORK, NY
Past
April 25, 2005 - August 18, 2005
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
April 7, 2000 - April 15, 2005
MONNESS CRESPI HARDT & CO., INC.
BD
CRD#: 7424
NEW YORK, NY
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(3/25/2020)
IAR
Texas(3/25/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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)
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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
28
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TECTONIC FINANCIAL, INC. | PARENT COMPANY | |
| BALL, GEORGE LESTER | REGISTERED ASSOCIATE | 11332 |
| BLOCK, DAVID WILLIAM | OPERATIONS MANAGER | 2327799 |
| KUEBLER, ERICK GEORGE REVELLE | MANAGER, PRESIDENT | 2319437 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| MANGOLD, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 2359974 |
| MANGOLD, STEPHEN MICHAEL | CHIEF EXECUTIVE OFFICER | 2359974 |
| SHERMAN, ARTHUR HAAG | MANAGER | 2813406 |
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 991,714,376 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
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
SANDERS MORRIS LLC
CRD#: 20580Dallas, TX 75225TRUST BUT VERIFY
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