Maxwell A. Hoffman
Professional summary
Maxwell Adams Hoffman, who also goes by Maxwell Hoffman, Max Hoffman, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Raleigh, North Carolina.
Maxwell is registered as a RR (Registered Representative) and started their career in finance in 2020. Maxwell has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maxwell Adams Hoffman's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2026 - Present
NYLIFE SECURITIES LLC
Office #1: 4140 Parklake Avenue Suite 450, Raleigh, NC 27612March 30, 2023 - November 25, 2025
COMMONWEALTH FINANCIAL NETWORK
March 29, 2023 - November 25, 2025
COMMONWEALTH FINANCIAL NETWORK
June 2, 2021 - December 14, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 25, 2021 - December 13, 2021
FIDELITY BROKERAGE SERVICES LLC
October 27, 2020 - November 30, 2020
EQUITABLE ADVISORS, LLC
July 30, 2020 - November 30, 2020
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/28/2026)
(9/29/2026)
(9/29/2026)
(9/30/2026)
(9/30/2026)
(10/1/2026)
(9/30/2026)
(10/1/2026)
(10/2/2026)
(10/2/2026)
(10/2/2026)
(9/21/2026)
Exams
What does exam status mean?
Series 7TO
Passed: 7/30/2020
General Securities Representative ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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
NYLIFE SECURITIES LLC
CRD#: 5167Raleigh, NC 27612TRUST BUT VERIFY
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