Timothy H. 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.
Timothy Herbert Hoffman, who also goes by Tim Hoffman, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2002. Timothy had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - December 31, 2020
NORTHWEST FINANCIAL ADVISORS LLC
July 23, 2019 - December 31, 2020
NORTHWEST FINANCIAL GROUP LLC
July 22, 2019 - December 31, 2020
LPL FINANCIAL LLC
January 2, 2009 - August 1, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 3, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 19, 2002 - August 1, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769 / SEC#: 801-77994
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
NORTHWEST FINANCIAL ADVISORS LLC
CRD#: 166769 / SEC#: 801-77994
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,896 |
| AUM (Assets Under Management) | $ 1,924,736,060 |
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.
