DH
Dayton R. Hoffmann
GOOGINS ADVISORS,
Middleton, WI 53562
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CRD#: 7559109
DH
Professional summary
Dayton Raymond Hoffmann is a registered financial advisor currently at GOOGINS ADVISORS, INC located in Middleton, Wisconsin.
Dayton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Dayton has worked at 1 firm and has passed the Series 65 exam.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Dayton Raymond Hoffmann'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
March 20, 2024 - Present
GOOGINS ADVISORS, INC
Office #1: 6417 University Avenue, Middleton, WI 53562RIA
CRD#: 13985
Middleton, WI
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".
GA
GOOGINS ADVISORS, INC
GOOGINS & ANTON, INC. | GOOGINS ADVISORS, INC. | GOOGINS ADVISORS, INC | GOOGINS & CO., INC. | GOOGINS & BEST, INC. | GOOGINS & BAST, INC.
CRD#: 13985 / SEC#: 801-68432, 8-30116
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)Texas
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)BD
Terminated by SEC on 08/25/2022
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
Wisconsin(3/20/2024)
Current Firm
GA
GOOGINS ADVISORS, INC
GOOGINS & ANTON, INC. | GOOGINS ADVISORS, INC. | GOOGINS ADVISORS, INC | GOOGINS & CO., INC. | GOOGINS & BEST, INC. | GOOGINS & BAST, INC.
CRD#: 13985 / SEC#: 801-68432, 8-30116
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)Texas
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)BD
Terminated by SEC on 08/25/2022
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Contact information
Main Address
6417 University Avenue, Middleton, WI 53562
Mailing Address
Phone number
(608) 514-1044
Established
Wisconsin since 07/01/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
8
SEC notice filing (15 States and Territories)
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOOGINS, LOUISE PAULSON | PRESIDENT, TREASURER, CCO, FINANCIAL OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER | 857700 |
Regulatory assets under management
| Total Number of Accounts | 1,687 |
| AUM (Assets Under Management) | $ 501,043,111 |
Disclosures
| Regulatory Event | 2 |
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.
