SH
Steven A. Hoffman
IP FINANCIAL ADVISORY SERVICES LLC
Sunnyvale, CA 94086
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CRD#: 6255397
SH
Professional summary
Steven Ari Hoffman, who also goes by Steve Hoffman, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Sunnyvale, California and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve 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.
BACKPROJECT CORPORATION/INVESTMENT RELATED - NO/170 N. WOLFE ROAD, SUNNYVALE, CA 94086 (408)730-1111/MEDICAL DEVICE MANUFACTURER/CEO/12.2001/120/100/IN CHARGE OF OVERALL OPERATIONS AND CUSTOMER TRAINING#10;#10;
HEARTLAND INSTITUTE OF FINANCIAL EDUCATION; NOT INVESTMENT RELATED; 8301 EAST PRENTICE AVENUE, GREENWOOD VILLAGE CO 80111; FINANCIAL EDUCATION; CERTIFIED FINANCIAL EDUCATOR INSTRUCTOR; 08/2013; 0-40 HRS/MONTH; FINANCIAL EDUCATOR.....
HIFE COLLEGE PLANNING; NOT INVESTMENT RELATED; 8301 EAST PRENTICE AVENUE, STE 312, GREENWOOD VILLAGE CO 80111; COLLEGE PLANNING; COLLEGE PLANNING CONSULTANT; 08/2013; 0-40 HRS/MONTH......
RENTAL PROPERTIES; YES-INVESTMENT RELATED; 170 N. WOLFE RD, SUNNYVALE CA 94086; INCOME PROPERTIES; OWNER; 02/1992; 0-8 HRS/MONTH....
REAL ESTATE BROKER; NOT INVESTMENT RELATED; 170 N. WOLFE RD, SUNNYVALE CA 94086; FROM TIME TO TIME, I REFER PEOPLE WHOM NEED REAL ESTATE SERVICES TO A LICENSED REAL ESTATE PROFESSIONAL. I MAY REPRESENT OTHERS IN THE PURCHASE/SALE OF REAL ESTATE; SELF PROPRIETOR; 12/1993; 0-8 HRS/MONTH; REAL ESTATE BROKER
SUNNYVALE-CUPERTINO ADULT SCHOOL, FREMONT UNION HUGH SCHOOL DISTRICT; START DATE 6/2015; TEACHER OF FINANCIAL EDUCATION; 8 HRS/MON OUTSIDE OF TRADING HOURS; NON-INVESTMENT RELATED.
WealthTuneup - investment-related; 170 N. Wolfe Road, Sunnyvale, CA 94086 - Personalized IPLLC web presence through Forefield/Broadridge Investor Communication Solutions Inc. - Sole Proprietor; 02/2014; 20-40 hours per week; web presence for marketing purposes
USA Tax Centers - non-investment related; 170 N. Wolfe Road, Sunnyvale, CA 94086; Tax Prep and Estate Planning Services; Sole Proprietor; 12/2016; 5-10 hrs per week; Providing Tax Prep and Estate Planning integration into selected prospects and clients
CRS (Client Relationship Summary) - RIA
Click below to view Steven Ari Hoffman'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®
NoneExperience
Current
February 5, 2020 - Present
IP FINANCIAL ADVISORY SERVICES LLC
Office #1: 170 N. Wolfe Road, Sunnyvale, CA 94086RIA
CRD#: 305772
Sunnyvale, CA
Current
January 5, 2015 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210RIA
BD
CRD#: 146344
Charlotte, NC
Past
January 28, 2015 - September 15, 2021
INNOVATION PARTNERS LLC
RIA
CRD#: 146344
Sunnyvale, CA
Past
March 24, 2014 - November 19, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
MILPITAS, CA
Past
January 24, 2014 - February 7, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ALVISO, CA
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".
IF
IP FINANCIAL ADVISORY SERVICES LLC
DEEMER WEALTH MANAGEMENT | IP FINANCIAL ADVISORY SERVICES LLC | INNOVATION PARTNERS FINANCIAL SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
RIA
Registered Investment Advisory firm - (10/17/2019 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
California(1/5/2015)
IAR
California(2/5/2020)
RR
Oklahoma(8/1/2018)
IAR
Oklahoma(2/5/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
IP FINANCIAL ADVISORY SERVICES LLC
DEEMER WEALTH MANAGEMENT | IP FINANCIAL ADVISORY SERVICES LLC | INNOVATION PARTNERS FINANCIAL SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
RIA
Registered Investment Advisory firm - (10/17/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5950 Fairview Road, Suite 140, Charlotte, NC 28210
Mailing Address
Phone number
(980) 326-3335
Established
Firm type
Fiscal year end
# of Employees
112
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
