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Detailed Report
ROBERT ALAN HOFFMAN
ROBERT A HOFFMAN
CRD#: 1847962
IA
Investment Adviser
B
Broker
SNOWDEN CAPITAL ADVISORS LLCCRD#: 157299 225 South Lake Ave, Suite 650
Pasadena, CA 91101
SNOWDEN ACCOUNT SERVICES LLCCRD#: 149794 225 SOUTH LAKE AVENUE
SUITE 650
PASADENA, CA 91101
Registration History
197519801985199019952000200520102015202020252 FIRMS1996 - 2014 (18 years)IASNOWDEN CAPITAL ADVISORS LLC (CRD# 157299)2015 - Present (10 years)BSNOWDEN ACCOUNT SERVICES LLC (CRD# 149794)2014 - Present (10 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1996 (7 years)IASNOWDEN CAPITAL ADVISORS LLC (CRD# 157299)2014 - 2014 (<1 year)
Disclosure(s)
View By:
8/1/1971
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 1/7/2020
B
New Mexico 7/1/2014
B
California 6/30/2014
B
New York 8/1/2014
IA
California 1/14/2015
IA
Ohio 12/19/2016
B
Georgia 7/1/2014
B
Oregon 6/2/2017
B
Hawaii 7/8/2014
B
Texas 6/30/2014
B
Illinois 10/8/2021
IA
Texas 1/14/2015
B
Iowa 7/27/2021
B
Utah 2/9/2018
B
Massachusetts 1/5/2021
B
Virginia 6/5/2014
B
Missouri 6/5/2014
B
Washington 7/1/2014
B
Nevada 11/20/2018
IA
Washington 7/18/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SNOWDEN CAPITAL ADVISORS LLC (CRD#:157299)
225 South Lake Ave, Suite 650, Pasadena, CA 91101
Registered with this firm since 1/14/2015
B
SNOWDEN ACCOUNT SERVICES LLC (CRD#:149794)
225 SOUTH LAKE AVENUE SUITE 650, PASADENA, CA 91101
Registered with this firm since 6/4/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/04/2014 - 12/31/2014 SNOWDEN CAPITAL ADVISORS LLC (CRD#:157299) NEW YORK, NY
IA
 08/16/1996 - 05/12/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ARCADIA, CA
B
 02/12/1996 - 05/12/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ARCADIA, CA
B
 06/30/1988 - 01/03/1996 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.