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JH

John Hoffman

CRD# 5212160·Registered 2006 - 2025
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Hoffman, who also goes by John Patrick Hoffman, John P Hoffman, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2006 - 2025. John had worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 51 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Patrick Hoffman, John P Hoffman

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

20 years in the financial services industry

Current & Past Employments

GRAYSCALE SECURITIES, LLC·CRD# 305907
BD
Stamford, CT
August 29, 2024 - September 29, 2025
FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
Portland, ME
March 14, 2024 - August 29, 2024
GRAYSCALE ADVISORS·CRD# 314868
RIA
Glenview, IL
December 22, 2023 - September 29, 2025
GRAYSCALE SECURITIES, LLC·CRD# 305907
BD
Stamford, CT
December 21, 2023 - March 14, 2024
INVESCO CAPITAL MARKETS, INC.·CRD# 6939
BD
Downers Grove, IL
June 17, 2020 - August 2, 2023
INVESCO ADVISERS, INC.·CRD# 105360
RIA
Downers Grove, IL
August 10, 2016 - August 2, 2023
INVESCO DISTRIBUTORS, INC.·CRD# 7369
BD
Downers Grove, IL
September 27, 2006 - August 2, 2023

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Current Firm

GS
GRAYSCALE SECURITIES, LLC

GRAYSCALE SECURITIES, LLC

CRD#: 305907 / SEC#: 8-70437
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

290 Harbor Drive 4th Floor, Stamford, CT 06902

Mailing Address

290 Harbor Drive 4th Floor, Stamford, CT 06902

Phone Number

(914) 343-8623

Established

Delaware since 06/14/2018

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRAYSCALE OPERATING, LLCSOLE MEMBER OF GRAYSCALE SECURITIES, LLC—
MASCI, KATHRYN CODYFINOP / PFO6755238
PALASZ, FELICA CORNELIAPOO7830001
PALMER, JORDAN WYNNCHIEF EXECUTIVE OFFICER7279088
SALM, CRAIG IANCHIEF LEGAL OFFICER / INTERIM CHIEF COMPLIANCE OFFICER6936921

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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.

1. Grayscale Operating, LLC (Parent Company to the Firm and Grayscale Advisors, LLC); Investment Related; Glenview, IL; 11/2023; Sales Distribution; Managing Director, Head of Distribution & Strategy; 160 Hours/Month. 2. Rental property; Glenview, IL; Non-investment related; Began11/09/2016; rental property; zero hours per month with zero hours during securities trading hours.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2016About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2006About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2006About the Series 7 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Apr 2016About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Sep 2013About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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