Kenneth Hoffman (CRD# 1787922) is an Investment Advisor Representative working at Morgan Stanley in Grand Rapids, MI and has over 30 years of experience in the finance industry.
CRD# 5035751
Raymond James & Associates, Inc.
Score
103
CRD# 3185250
Edward Jones
Score
101
CRD# 5051596
Tarfis Wealth Management
Score
101
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Morgan Stanley Smith Barney | Kalamazoo, MI | Jun 2009 - Current | 8 |
| Citigroup Global Markets | Grand Rapids, MI | Jan 2008 - Jun 2009 | 1 |
| Wells Fargo Investments, LLC | Grand Rapids, MI | Jun 2005 - Jan 2008 | 2 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1988 |
| S66 | NASAA Uniform Combined State Law Examination | Oct 2005 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- MI
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Total Assets Under Management598,503MILLIONS
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Total Number of Accounts1,610,240ACCOUNTS
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Average Account Value$371,685
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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