Lara W. Hoffmans
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.
Lara Walters Hoffmans, who also goes by Lara A. Walters, Lara Anne Walters, was a registered financial professional .
Lara is a previously registered financial professional and started their career in finance in 2001. Lara had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2020 - September 30, 2025
FORESIDE FINANCIAL SERVICES, LLC
February 3, 2014 - January 28, 2020
ARTISAN PARTNERS DISTRIBUTORS LLC
September 27, 2004 - August 16, 2013
FISHER INVESTMENTS
August 26, 2003 - February 17, 2004
WELLS FARGO INVESTMENTS, LLC
August 26, 2003 - February 17, 2004
WELLS FARGO INVESTMENTS, LLC
February 8, 2002 - September 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2001 - September 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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