Stephen J. Hoffman
Professional summary
Stephen John Hoffman, who also goes by Stephen J Hoffman, is a registered financial professional currently at M&T SECURITIES, INC. located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen John Hoffman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2022 - Present
M&T SECURITIES, INC.
Office #1: 115 Federal Street 18th Floor, Boston, MA 02110-0300February 24, 2020 - September 28, 2020
HUNTINGTON SECURITIES, INC.
April 11, 2018 - February 24, 2020
THE HUNTINGTON INVESTMENT COMPANY
November 1, 2010 - November 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2007 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
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
FINRA
Current Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
M&T SECURITIES, INC.
CRD#: 17358Boston, MA 02110-0300TRUST BUT VERIFY
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