Sean C. Hoffpauir

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CRD#: 4526848

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.

Sean Carlton Hoffpauir, who also goes by Sean C Hoffpauir, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2002. Sean had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean C Hoffpauir

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

July 6, 2018 - November 30, 2018

INTEGRITY RIA, LLC

RIA

CRD#: 150415

LAFAYETTE, LA

Past

June 1, 2018 - June 12, 2018

INTEGRITY RIA, LLC

RIA

CRD#: 150415

LAFAYETTE, LA

Past

May 12, 2018 - May 14, 2018

INTEGRITY RIA, LLC

RIA

CRD#: 150415

LAFAYETTE, LA

Past

July 25, 2016 - May 7, 2018

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

Baton Rouge, LA

Past

July 22, 2016 - May 7, 2018

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

Baton Rouge, LA

Past

September 12, 2014 - July 20, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAFAYETTE, LA

Past

August 25, 2014 - July 20, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAFAYETTE, LA

Past

September 26, 2011 - August 15, 2012

ALPHA HARVEST WEALTH MANAGEMENT

RIA

CRD#: 153916

LAFAYETTE, LA

Past

May 25, 2010 - December 31, 2010

ALPHA HARVEST WEALTH MANAGEMENT

RIA

CRD#: 153916

LAFAYETTE, LA

Past

November 24, 2008 - October 6, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BATON ROUGE, LA

Past

August 3, 2007 - October 6, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BATON ROUGE, LA

Past

May 28, 2004 - November 30, 2004

FIRST WALL STREET CORP.

CRD#: 13024

LA JOLLA, CA

Past

July 5, 2002 - May 13, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

INTEGRITY RIA, LLC

INTEGRITY FINANCIAL, LLC | INTEGRITY RIA, LLC

CRD#: 150415 / SEC#: 801-120356

RIA

Registered Investment Advisory firm - (3/26/2021 Approved)

Louisiana

Registered Investment Advisory firm - (6/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/4/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/3/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/20/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2004

General Securities Principal Examination

Current Firm

INTEGRITY RIA, LLC

INTEGRITY FINANCIAL, LLC | INTEGRITY RIA, LLC

CRD#: 150415 / SEC#: 801-120356

RIA

Registered Investment Advisory firm - (3/26/2021 Approved)

Louisiana

Registered Investment Advisory firm - (6/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/4/2021 Terminated)

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Contact information

Main Address

221 Southpark Rd Suite C1, Lafayette, LA 70508

Mailing Address

Po Box 82571, Lafayette, LA 70598

Phone number

(337) 654-0608

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (7/22/2025)

Regulatory assets under management

Total Number of Accounts	1,687
AUM (Assets Under Management)	$ 130,531,533

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.

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Advisor Monitoring

Firm Stability Insights

Sean C. Hoffpauir

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTEGRITY RIA, LLC

INTEGRITY RIA, LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ALPHA HARVEST WEALTH MANAGEMENT

ALPHA HARVEST WEALTH MANAGEMENT

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FIRST WALL STREET CORP.

EDWARD JONES

Primary Firm SEC Registration

INTEGRITY RIA, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/3/2014

Series 63

Date: 6/20/2002

SIE

Date: 5/7/2018

Series 7

Date: 8/25/2014

Series 24

Date: 9/25/2004

Current Firm

INTEGRITY RIA, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTEGRITY RIA, LLC

TRUST BUT VERIFY

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