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RH

Ross F. Hoffman

HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS
VENTURA, CA 93001
Some features on this profile are disabled
CRD#: 803445
RH

Professional summary

Ross Floyd Hoffman, AIF®, CFP® is a registered financial advisor currently at HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC. located in Ventura, California and FORTUNE FINANCIAL SERVICES, INC. located in Ventura, California.

Ross is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Ross has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

top-8-questions

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.
FORTUNE FINANCIAL SERVICES INC. 3582 BRODHEAD ROAD, SUITE 202 MONACA, PA 15061 BROKER-DEALER INVESTMENT RELATED REGISTERED REPRESENTATIVE 04/2016 TO PRESENT MR. HOFFMAN IS ALSO A LICENSED INSURANCE AGENT since 02/1987 Representative is the author and publisher of an exercise book publish 11/05/2018, Non securities related RIA: Hoffman & Associates Financial & Estate Advisors Inc - officer/director since 4/2016 ValuCorp: business valuation since June 2020

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Floyd 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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Experience

Current

January 27, 2009 - Present

HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC.

Office #1: 121 N. Fir Street, Suite D, Ventura, CA 93001
RIA
CRD#: 134563
VENTURA, CA
Current

April 28, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 121 North Fir Street Suite D, Ventura, CA 93001
BD
CRD#: 42150
Ventura, CA
Past

June 15, 2010 - May 10, 2016

GIRARD SECURITIES, INC.

RIA
CRD#: 18697
VENTURA, CA
Past

May 28, 2010 - May 10, 2016

GIRARD SECURITIES, INC.

BD
CRD#: 18697
VENTURA, CA
Past

July 31, 2002 - October 19, 2006

M HOLDINGS SECURITIES, INC.

RIA
CRD#: 43285
VENTURA, CA
Past

January 18, 2002 - May 28, 2010

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
VENTURA, CA
Past

July 8, 1997 - December 31, 2008

HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC.

RIA
CRD#: 134563
VENTURA, CA
Past

April 29, 1991 - January 17, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 1, 1990 - May 7, 1991

GS2 SECURITIES, INC.

BD
CRD#: 14745
MILWAUKEE, WI
Past

November 19, 1989 - January 31, 1990

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

September 23, 1987 - December 31, 1988

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
Past

January 18, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

June 16, 1978 - January 3, 1983

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

October 27, 1976 - March 22, 1977

FINANCIAL INDUSTRIES SECURITIES CORPORATION

BD
CRD#: 6592
Past

January 8, 1975 - January 3, 1976

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

January 8, 1975 - January 3, 1976

OSAIC FA, INC.

BD
CRD#: 3978

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

IAR
California
(1/27/2009)
RR
California
(4/28/2016)
RR
Colorado
(6/7/2017)
RR
Texas
(4/28/2016)
RR
Washington
(2/27/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/26/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/27/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 12/30/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/20/1983
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC.
HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. | HOFFMAN WEALTH MANAGEMENT, INC. | HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC.

CRD#: 134563 / SEC#: 801-125720

RIA
Registered Investment Advisory firm - (9/16/2024 Terminated)
California
Registered Investment Advisory firm - (8/26/2024 Approved)
Colorado
Registered Investment Advisory firm - (6/9/2022 Terminated)
Oregon
Registered Investment Advisory firm - (12/31/2008 Failure to Renew)
Texas
Registered Investment Advisory firm - (6/8/2022 Terminated)
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Contact information

Main Address
121 N. Fir Street, Suite D, Ventura, CA 93001
Mailing Address
Phone number
(805) 648-5300
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 3,471,053

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

HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC.

CRD#: 134563Ventura, CA 93001

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