JH
Jason A. Hoffman
CITIZENS SECURITIES
Merrick, NY 11566
Some features on this profile are disabled
CRD#: 4851744
JH
Professional summary
Jason A. Hoffman, who also goes by Jason A Hoffman, Jason Andrew Hoffman, Jason Hoffman, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Merrick, New York.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jason has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason A Hoffman | Jason Andrew Hoffman | Jason Hoffman
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.
02/2024 / Jason Hoffman-Notary / Notary / Investment Related / 0 hrs mth / 0 hrs during trading. Date of Initial Involvement: 03/10/2014
CRS (Client Relationship Summary) - RIA
Click below to view Jason A. Hoffman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason A. Hoffman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 5, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 2150 Merrick Road Ny469, Merrick, NY 11566Office #2: 603 Jericho Turnpike Ms: Ny323, Syosset, NY 11791Office #3: 750 West Sunrise Highway Space #4110 Ms: Ny314, Valley Stream, NY 11582Office #4: 859 Walt Whitman Road Ms: Ny329, Melville, NY 11747RIA
BD
CRD#: 39550
Merrick, NY
Current
March 5, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 2150 Merrick Road Ny469, Merrick, NY 11566Office #2: 603 Jericho Turnpike Ms: Ny323, Syosset, NY 11791Office #3: 750 West Sunrise Highway Space #4110 Ms: Ny314, Valley Stream, NY 11582Office #4: 859 Walt Whitman Road Ms: Ny329, Melville, NY 11747RIA
BD
CRD#: 39550
Merrick, NY
Past
February 21, 2024 - March 8, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
LONG ISLAND CITY, NY
Past
February 21, 2024 - March 8, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
LONG ISLAND CITY, NY
Past
March 19, 2018 - January 10, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WILLISTON PARK, NY
Past
November 25, 2013 - January 10, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WILLISTON PARK, NY
Past
January 27, 2011 - July 11, 2013
CAPE SECURITIES INC.
BD
CRD#: 7072
NEW YORK, NY
Past
August 31, 2009 - February 14, 2011
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
FARMINGDALE, NY
Past
May 22, 2006 - September 1, 2009
PRESTIGE FINANCIAL CENTER, INC.
BD
CRD#: 30407
GARDEN CITY, NY
Past
July 13, 2005 - June 1, 2006
SLOAN SECURITIES CORP.
BD
CRD#: 17930
NEW YORK, NY
Past
September 15, 2004 - July 8, 2005
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
BIRMINGHAM, AL
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(1/15/2025)
IAR
Colorado(1/15/2025)
RR
Connecticut(8/8/2024)
IAR
Connecticut(8/9/2024)
RR
Florida(3/15/2024)
IAR
Florida(3/18/2024)
RR
New Jersey(3/12/2024)
IAR
New Jersey(3/12/2024)
RR
New York(3/5/2024)
IAR
New York(3/5/2024)
RR
Pennsylvania(3/12/2024)
IAR
Pennsylvania(3/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
