Mark J. Hoffman

MILBORN ADVISORS, LTD

Milwaukee, WI 53202

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CRD#: 5393095

Professional summary

Mark John Melby Hoffman, who also goes by Mark John Hoffman, is a registered financial advisor currently at MILBORN ADVISORS, LTD located in Milwaukee, Wisconsin.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Mark has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark John 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.

Mark John Melby Hoffman is an independent licensed insurance agent, and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. Milborn Advisors, ltd always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to utilize the services of any representative of Milborn Advisors, ltd in connection with such individual's activities outside of Milborn Advisors, ltd.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark John Melby 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®

None

Experience

Current

May 14, 2018 - Present

MILBORN ADVISORS, LTD

Office #1: 301 N. Broadway, Suite 203, Milwaukee, WI 53202

RIA

CRD#: 291305

Milwaukee, WI

Past

September 24, 2007 - May 15, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

ELM GROVE, WI

Past

September 6, 2007 - May 15, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

ELM GROVE, WI

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

Illinois
(3/15/2022)

IAR

Minnesota
(6/18/2018)

IAR

Wisconsin
(5/14/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2007

General Securities Representative Examination

Current Firm

MILBORN ADVISORS, LTD

CONFLUENCE ADVISORY GROUP | MILBORN ADVISORS, LTD

CRD#: 291305 / SEC#:

Illinois

Registered Investment Advisory firm - (3/15/2022 Approved)

Minnesota

Registered Investment Advisory firm - (6/18/2018 Approved)

Texas

Registered Investment Advisory firm - (1/6/2021 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (3/23/2018 Approved)

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Contact information

Main Address

301 N. Broadway, Suite 203, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 585-0070

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	601
AUM (Assets Under Management)	$ 87,615,155

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.

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Firm Stability Insights

Mark J. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark John Melby Hoffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MILBORN ADVISORS, LTD

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2007

SIE

Date: 5/15/2018

Series 7

Date: 9/5/2007

Current Firm

MILBORN ADVISORS, LTD

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MILBORN ADVISORS, LTD

TRUST BUT VERIFY

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