FH
Frederic F. Hoffman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Arlington Heights, IL 60004
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CRD#: 5926181
FH
Professional summary
Frederic Franklin Hoffman IV, AIF®, who also goes by Eric Hoffman, Frederic Hoffman IV, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Arlington Heights, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Arlington Hts., Illinois.
Frederic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Frederic has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Hoffman | Frederic Hoffman Iv
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.
1. ASSOCIATED PENSION SERVICES, INC, 601 CAMPUS DR, STE. B4, ARLINGTON HEIGHTS, IL, 08/01/88, TPA, PRINCIPAL/OWNER, INV REL, 2500/YR- 2500/YR TRADING 2. ERIC HOFFMAN, 8 CHARLES CT, SURVEY PARTICIPANT, BUFFALO GROVE, IL, 1/05/2017. NIR - 1/YR - 0/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4. INDEPENDENT BROKER/SCHEDULE C, 601 CAMPUS DR STE B4, ARLINGTON HEIGHTS, IL, 6/01/83. BROKER FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-40/YR-20/TRADING. 5. ASSOCIATE PLANNING SERVICES, INC, 601 CAMPUS DR, STE. B4, ARLINGTON HEIGHTS, IL, 07/01/05. OWNER, FINANCIAL PLANNING/SERVICES FIRM. INV REL-2500/YR-100/TRADING. 6. ASSOCIATED PLANNING SERVICES, INC. 601 CAMPUS DR. STE b4, ARLINGTON HEIGHTS, IL, DBA ASSOCIATED PLANNING SERVICES/OWNER, 08/01/05, INV REL, 100/WK- 100/TRADING 7. BUFFALO GROVE RECREATION ASSOCIATION, 160 Raupp Blvd, Buffalo Grove IL 60089, 03/2023, Coach, Volunteer, NIR, 25 HR/MO - 0 HR/MO TRADING. 8. BUFFALO GROVE PARK DISTRICT, 530 BERNARD DR, BUFFALO GROVE IL 60089, 01/2024, COACH, VOLUNTEER, NIR, 15 HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Frederic Franklin Hoffman IV'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®
Experience
Current
July 1, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 601 W Campus Drive Ste B4, Arlington Heights, IL 60004RIA
CRD#: 134139
Arlington Heights, IL
Current
May 27, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 601 Campus Dr Ste B4, Arlington Hts., IL 60004BD
CRD#: 39543
Arlington Hts., IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2023)
RR
Arizona(9/6/2023)
RR
Arkansas(1/2/2024)
RR
California(9/6/2023)
RR
Colorado(9/6/2023)
RR
Connecticut(1/4/2021)
RR
Florida(1/4/2021)
RR
Georgia(1/2/2024)
RR
Illinois(10/2/2017)
IAR
Illinois(10/2/2017)
RR
Indiana(1/4/2021)
RR
Iowa(7/1/2014)
RR
Kentucky(1/2/2024)
RR
Michigan(9/6/2023)
RR
Missouri(1/27/2025)
RR
Nevada(1/2/2024)
RR
North Carolina(1/2/2024)
RR
Ohio(9/6/2023)
RR
Oklahoma(1/2/2025)
RR
Oregon(4/4/2023)
RR
Pennsylvania(1/2/2024)
RR
South Carolina(3/2/2023)
RR
Texas(1/2/2020)
IAR
Texas(1/2/2020)
RR
Utah(9/6/2023)
RR
Virginia(9/6/2023)
RR
Wisconsin(1/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
