Miller B. Hoffman

TRADEWINDS

Raleigh, NC 27612

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CRD#: 6810819

Professional summary

Miller Brunson Hoffman, CFP®, who also goes by Miller Hoffman, is a registered financial advisor currently at TRADEWINDS, LLC located in Raleigh, North Carolina.

Miller is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Miller has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Miller 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) - RIA

Click below to view Miller Brunson 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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

May 2, 2022 - Present

TRADEWINDS, LLC

Office #1: 4600 Marriott Dr. Suite 200, Raleigh, NC 27612

RIA

CRD#: 316415

Raleigh, NC

Past

August 16, 2019 - May 3, 2022

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Charlotte, NC

Past

July 25, 2019 - May 3, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

TRADEWINDS, LLC

CRD#: 316415 / SEC#: 801-122614

RIA

Registered Investment Advisory firm - (11/4/2021 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(5/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/8/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/25/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/21/2019

Securities Industry Essentials Examination

Current Firm

TRADEWINDS, LLC

CRD#: 316415 / SEC#: 801-122614

RIA

Registered Investment Advisory firm - (11/4/2021 Approved)

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Contact information

Main Address

4600 Marriott Dr. Suite 200, Raleigh, NC 27612

Mailing Address

Phone number

(919) 571-2833

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRADEWINDS 2A (10/24/2025)

Regulatory assets under management

Total Number of Accounts	1,633
AUM (Assets Under Management)	$ 560,186,183

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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Miller B. Hoffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miller Brunson Hoffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADEWINDS, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

TRADEWINDS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/8/2019

Series 7TO

Date: 7/25/2019

SIE

Date: 3/21/2019

Current Firm

TRADEWINDS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADEWINDS, LLC

TRUST BUT VERIFY

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