Royce G. Imhoff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Royce Garfield Imhoff II was a registered financial professional .
Royce is a previously registered financial professional and started their career in finance in 1980. Royce had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2016 - May 26, 2023
TFO WEALTH PARTNERS
June 24, 2004 - July 28, 2009
AMERICAN GENERAL EQUITY SERVICES CORPORATION
August 31, 1992 - May 26, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
December 26, 1980 - July 21, 1992
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
TFO WEALTH PARTNERS
CRD#: 124407 / SEC#: 801-62074
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TFO WEALTH PARTNERS
CRD#: 124407 / SEC#: 801-62074
Contact information
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,141 |
| AUM (Assets Under Management) | $ 4,852,786,561 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 09/21/2023 | ||
| 02/27/2023 |
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.
