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Clay E. Hoffman

Some features on this profile are disabled
CRD#: 4371162
CH

Professional summary

Clay Emerson Hoffman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Clay is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Clay had worked at 5 firms, which includes SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., TRUIST INVESTMENT SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EDWARD JONES.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 6, 2013 - March 1, 2016

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
BRUNSWICK, GA
Past

May 6, 2013 - March 1, 2016

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BRUNSWICK, GA
Past

March 17, 2009 - April 22, 2013

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
ST. SIMONS, GA
Past

October 19, 2007 - April 22, 2013

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ST. SIMONS, GA
Past

June 15, 2007 - October 11, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PONTE VEDRA BEACH, FL
Past

May 15, 2001 - June 19, 2007

EDWARD JONES

BD
CRD#: 250
TIFTON, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/16/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/17/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/19/2008
Investment Company Products/Variable Contracts Principal Examination

Current Firm

SF
SUMMIT FINANCIAL GROUP INC
SUMMIT FINANCIAL GROUP INC

CRD#: 109485 / SEC#: 801-56645

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Contact information

Main Address
595 S. Federal Highway Suite 500, Boca Raton, FL 33432-5541
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SUMMIT FINANCIAL GROUP WRAP FEE PROGRAM BROCHURE (3/30/2021)
SUMMIT FINANCIAL GROUP FIRM BROCHURE (3/30/2021)

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

SUMMIT FINANCIAL GROUP INC

CRD#: 109485

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