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Scott J. Hofman

RATIO CAPITAL
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 5069797
SH

Professional summary

Scott James Hofman is a registered financial advisor currently at RATIO CAPITAL located in Pasadena, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Scott has worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Scott James Hofman'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®
None

Experience

Current

May 28, 2019 - Present

RATIO CAPITAL

Office #1: 202 S Lake Ave Suite 300, Pasadena, CA 91101
RIA
CRD#: 283357
Pasadena, CA
Past

May 4, 2015 - May 9, 2019

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
BEVERLY HILLS, CA
Past

May 1, 2015 - May 9, 2019

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
BEVERLY HILLS, CA
Past

October 1, 2013 - May 7, 2015

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LOS ANGELES, CA
Past

September 30, 2013 - May 7, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LOS ANGELES, CA
Past

April 19, 2010 - October 11, 2013

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
LOS ANGELES, CA
Past

April 16, 2010 - October 11, 2013

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
LOS ANGELES, CA
Past

August 12, 2009 - April 15, 2010

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
GLENDALE, CA
Past

July 8, 2009 - April 15, 2010

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
GLENDALE, CA
Past

January 22, 2009 - July 16, 2009

SECURITIES AMERICA, INC.

BD
CRD#: 10205
GLENDALE, CA
Past

December 23, 2008 - July 8, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
GLENDALE, CA
Past

December 19, 2008 - July 8, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
GLENDALE, CA
Past

April 16, 2007 - December 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LOS ANGELES, CA
Past

February 1, 2007 - December 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LOS ANGELES, CA
Past

August 23, 2006 - February 1, 2007

ATLAS SECURITIES, LLC

BD
CRD#: 20991
LOS ANGELES, CA
Past

January 16, 2006 - August 14, 2006

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
BURBANK, CA
Past

January 9, 2006 - August 14, 2006

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
BURBANK, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(5/28/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/14/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/6/2008
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/13/2008
General Securities Sales Supervisor - General Module Examination

Current Firm

RC
RATIO CAPITAL
DBA: RATIO CAPITAL | RATIO FINANCIAL HOLDINGS | RATIO CAPITAL

CRD#: 283357 / SEC#:

California
Registered Investment Advisory firm - (5/24/2016 Approved)
Nevada
Registered Investment Advisory firm - (4/8/2016 Approved)
Texas
Registered Investment Advisory firm - (1/25/2019 Conditional Restricted)
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Contact information

Main Address
8465 W. Sahara Ave Suite 111-44, Las Vegas, NV 89117
Mailing Address
Phone number
(702) 301-6444
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts81
AUM (Assets Under Management)$ 22,741,174

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

RATIO CAPITAL

CRD#: 283357Pasadena, CA 91101

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