Stephen J. Hoffman
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.
Stephen J Hoffman, who also goes by Stephen J Hoffman Mr., was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2001. Stephen had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2011 - February 22, 2013
BROWN BROTHERS HARRIMAN & CO.
July 20, 2010 - April 28, 2011
EQUITABLE ADVISORS, LLC
April 13, 2010 - April 28, 2011
EQUITABLE ADVISORS, LLC
September 8, 2009 - February 24, 2010
EDWARD JONES
August 20, 2009 - February 24, 2010
EDWARD JONES
January 1, 2002 - April 23, 2009
JOHN HANCOCK DISTRIBUTORS LLC
March 20, 2001 - January 1, 2002
MANUFACTURERS SECURITIES SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROWN BROTHERS HARRIMAN & CO.
CRD#: 104487 / SEC#:
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BODMAN, TAYLOR STOCKWELL | PARTNER | 2589796 |
| DONAHUE, DOUGLAS AIDAN JR. | PARTNER | 2074744 |
| KLOTZ, RADFORD WERNER | PARTNER | 2615201 |
| LIVINGSTON, SUSAN CLARK | PARTNER | 2831394 |
| SCHOENFELD, JEFFREY ALAN | PARTNER | 2490214 |
| WITMER, RICHARD HOWELL JR. | PARTNER | 1900002 |
| BERK, THOMAS ERIC | PARTNER | 4906624 |
| BERRIS, BRIAN ADAMS | PARTNER | 2530603 |
| BORLAND, JOHN JAY | PARTNER | 2171439 |
| COOK, GEOFFREY MACKENZIE | PARTNER | 4599503 |
| CREPIN, JEAN MARC | PARTNER | 6442317 |
| GALINDO, DARIO | PARTNER | 2789910 |
| GEORGE, KATHRYN CAROLYN | PARTNER | 4308333 |
| HAM, RICHARD DAVID | FINANCIAL OPERATIONS PRINCIPAL | 5515226 |
| HARTCH, TIMOTHY EWING | PARTNER | 2941759 |
| HASHIMOTO, KYOSUKE | PARTNER | 4308983 |
| HUTSON, JOSHUA EYARE | CHIEF COMPLIANCE OFFICER | 2912952 |
| IZARD, CHARLES OWEN | PARTNER | 1131624 |
| KELLER, MICHAEL ROBERT | PARTNER | 4053994 |
| LONG, THOMAS MICHAEL | PARTNER | 2596442 |
| LYNCH, HAMPTON SIMPSON JR. | PARTNER | 2794116 |
| MCCONNELL, MICHAEL WALLACE | PARTNER | 1551375 |
| MESKIN, JEFFREY BRYAN | PARTNER | 2855280 |
| NAGAHISA, YUKINORI | PARTNER | 1921275 |
| NIELSEN, JOHN ANDREW | PARTNER | 2578064 |
| PAIRCEIR, SEAN | PARTNER | 5775877 |
| PAQUIN, JEAN-PIERRE | PARTNER | 4622088 |
| REMONDI, CHRISTOPHER CHARLES | PARTNER | 4308313 |
| ROBERTSON, ABRAM HEATON III | PARTNER | 2593686 |
| ROSENSWEIG, WILLIAM E. | PARTNER | 6019312 |
| STONE, KEVIN W | PARTNER | 2395249 |
| SULLIVAN, WILLIAM CARTER III | PARTNER | 2641535 |
| TUCKER, ANDREW JAMES FRANCIS | PARTNER | 2588190 |
| TYREE, WILLIAM BROPHY | PARTNER | 2743965 |
| VELEZ, MAROA DEL CARMEN | PARTNER | 5469051 |
| WHELAN, WILLIAM JOSEPH JR. | PARTNER | 2588916 |
Disclosures
| Regulatory Event | 3 |
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.
