Elaine F. 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.
Elaine F Hoffmann MS., who also goes by Elaine F Hoffmann Mrs., Elaine F Hoffmann, Elaine F Vacca Miss, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 2008. Elaine had worked at 5 firms and has passed the Series 63, SIE, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2014 - June 24, 2016
MARCH CAPITAL CORP.
June 20, 2013 - May 21, 2014
DAVIS SECURITIES LLC
February 11, 2013 - April 4, 2013
MARCH CAPITAL CORP.
November 22, 2011 - August 16, 2012
CONNOR CAPITAL INVESTMENTS, LLC
September 12, 2008 - December 11, 2009
SPIKE FINANCIAL SERVICES, LLC
April 24, 2008 - June 18, 2008
DBSI SECURITIES CORPORATION
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 62
Date: 5/9/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
Red Flags
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