Yale R. Hoffberg
RBC CAPITAL MARKETS
Hunt Valley, MD 21031-1125
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CRD#: 6766986
Professional summary
Yale Richard Hoffberg, CFP® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Hunt Valley, Maryland.
Yale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Yale has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Entity Name: Gilman School - Alumni Board of Governors Non-Investment related ADDRESS: 5407 Roland Ave Baltimore, MD 21210 Nature of OBA: Independent School Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors) Start Date: 09/01/22 Time devoted: Less than 1 hour; 0 during securities trading Duties: Alumni Board Member for Gilman School. Attend meetings, participate in community service projects, mentor current students and other alumni, speaking engagements (2) NAME OF ENTITY: LifeBridge Health Leadership Society ADDRESS: 2401 W. Belvedere Ave. Baltimore, MD 21215 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Health System CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 02/15/23 DUTIES: LifeBridge Health's Leadership Society was formed to connect with and engage the next generation of supporters and leaders for the organization. Early to mid-career professionals in the Baltimore metro area are encouraged to join the society and attend networking events that also feature speakers on topics of interest identified by the Leadership Society Committee. Members of the society are invited to learn about and champion LifeBridge Health clinical programs and events. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Levindale Hebrew Geriatric Center And Hospital, Inc. ADDRESS: Baltimore, MD INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Hospital START DATE: 10.01.24 CAPACITY: Board of Directors DUTIES: Attend board meetings, participant on committees and subcommittee, share feedback, attend social gatherings and charity events HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Yale Richard Hoffberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yale Richard Hoffberg'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®
CFP®
Start date: 2019
Experience
Current
August 28, 2017 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125RIA
BD
CRD#: 31194
Hunt Valley, MD
Current
June 12, 2017 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125RIA
BD
CRD#: 31194
Hunt Valley, MD
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alaska(9/10/2025)
RR
Arizona(8/15/2023)
RR
Arkansas(7/6/2020)
RR
California(8/30/2017)
RR
Colorado(8/30/2017)
RR
Connecticut(8/30/2017)
RR
Delaware(8/30/2017)
RR
District of Columbia(8/30/2017)
RR
Florida(8/30/2017)
RR
Georgia(8/30/2017)
RR
Hawaii(1/22/2025)
RR
Idaho(8/10/2022)
RR
Illinois(8/30/2017)
RR
Indiana(1/21/2025)
RR
Kansas(1/23/2025)
RR
Kentucky(1/23/2025)
RR
Louisiana(8/30/2017)
RR
Maryland(7/24/2017)
IAR
Maryland(8/28/2017)
RR
Michigan(8/30/2017)
RR
Minnesota(2/20/2020)
RR
Mississippi(8/30/2017)
RR
Missouri(9/9/2025)
RR
Montana(8/30/2017)
RR
New Hampshire(1/22/2025)
RR
New Jersey(8/30/2017)
RR
New Mexico(1/5/2021)
RR
New York(8/30/2017)
RR
North Carolina(8/30/2017)
RR
Ohio(3/23/2022)
RR
Oregon(10/30/2025)
RR
Pennsylvania(8/30/2017)
RR
Rhode Island(3/21/2024)
RR
South Carolina(8/30/2017)
RR
Tennessee(8/30/2017)
RR
Texas(8/30/2017)
IAR
Texas(8/30/2017)
RR
Vermont(11/23/2022)
RR
Virginia(8/30/2017)
RR
West Virginia(8/30/2017)
RR
Wyoming(1/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
Company Information
RBC CAPITAL MARKETS, LLC
CRD#: 31194Hunt Valley, MD 21031-1125TRUST BUT VERIFY
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