Richard J. Hoffmann
Professional summary
Being a previously registered professional could mean that this person 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.
Richard Joseph Hoffmann, CFP®, who also goes by Richard J Hoffmann, Richard Joseph Hoffmann, Richard Hoffmann, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2008. Richard had worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2024 - December 18, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 11, 2024 - December 18, 2024
FIDELITY BROKERAGE SERVICES LLC
December 6, 2019 - May 10, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2019 - May 10, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2009 - December 20, 2010
ERNST & YOUNG INVESTMENT ADVISERS LLP
February 1, 2008 - October 21, 2008
PARK AVENUE 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
Series 7TO
Date: 11/6/2019
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
