Thomas Hoffmann
Professional summary
Thomas Hoffmann, who also goes by Thomas Fechtner, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Hoffmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2021 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022October 31, 2018 - April 30, 2021
SOLEBURY CAPITAL LLC
November 25, 2010 - November 13, 2018
TROUT CAPITAL 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
(5/4/2021)
Exams
Series 79TO
Date: 10/1/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
