Mitchell J. Hoffman

JOSEPH STONE CAPITAL L.L.C.

New York, NY 10006

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CRD#: 6192370

Professional summary

Mitchell Johnston Hoffman, who also goes by Mitch Hoffman, Mitchell Johnston Hoffman, Mitchell Hoffman, is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in New York, New York.

Mitchell is registered as a RR (Registered Representative) and started their career in finance in 2013. Mitchell has worked at 7 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mitch Hoffman | Mitchell Johnston Hoffman | Mitchell 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mitchell Johnston Hoffman's CRS (Customer Relationship Summary).

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

August 26, 2019 - Present

JOSEPH STONE CAPITAL L.L.C.

Office #1: 29 Broadway Suite 1800, New York, NY 10006

CRD#: 159744

New York, NY

Past

January 2, 2019 - July 17, 2019

J.H. DARBIE & CO., INC.

CRD#: 43520

NEW YORK, NY

Past

April 16, 2018 - December 3, 2018

WELLINGTON SHIELDS & CO., LLC

RIA

CRD#: 149021

NEW YORK, NY

Past

April 5, 2018 - December 3, 2018

WELLINGTON SHIELDS & CO., LLC

CRD#: 149021

NEW YORK, NY

Past

April 4, 2017 - April 20, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

NEW YORK, NY

Past

March 29, 2017 - April 20, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEW YORK, NY

Past

June 20, 2014 - September 14, 2015

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

May 12, 2014 - September 14, 2015

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

January 23, 2014 - May 13, 2014

ROCKWELL SECURITIES LLC

CRD#: 142483

NEW YORK, NY

Past

May 15, 2013 - June 18, 2013

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/27/2019)

New York
(9/11/2019)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/19/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/10/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: , 8-69014

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Mailing Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Phone number

(516) 267-7001

Established

Delaware since 11/04/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DPMM HOLDINGS L.L.C.	HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPH	CCO	2862096
MAGGIO, DAMIAN	CEO	2864247
NIXON, JON ALAN	FINOP	4710715

Disclosures

Regulatory Event	5
Arbitration	3

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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Advisor Monitoring

Firm Stability Insights

Mitchell J. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mitchell Johnston Hoffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.H. DARBIE & CO., INC.

WELLINGTON SHIELDS & CO., LLC

WELLINGTON SHIELDS & CO., LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

ROCKWELL SECURITIES LLC

JOHN THOMAS FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2014

Series 79TO

Date: 1/10/2020

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2013

FINRA

Current Firm

JOSEPH STONE CAPITAL L.L.C.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOSEPH STONE CAPITAL L.L.C.

TRUST BUT VERIFY

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