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Detailed Report
MICHAEL MARTIN HOFFMAN
CRD#: 2286602
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 WOODFIELD CROSSING BLVD
INDIANAPOLIS, IN 46240
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Registration History
19952000200520102015202020252 FIRMS1993 - 2004 (11 years)2 FIRMS2004 - 2005 (<1 year)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2008 (1 year)IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2015 - Present (9 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2013 - Present (12 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2013 (1 year)BVALLEY FORGE ASSET MANAGEMENT ... (CRD# 7438)2009 - 2010 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2013 - 2015 (2 years)
Disclosure(s)
View By:
11/21/2023
Criminal
Pending Charge
License(s)

State Registrations

B
Alabama 7/23/2015
B
Nevada 2/12/2024
B
Arkansas 8/26/2022
B
North Carolina 8/17/2015
B
California 8/10/2015
B
Ohio 2/4/2021
B
Colorado 8/25/2016
B
Oklahoma 9/29/2021
B
Connecticut 3/11/2024
B
Oregon 9/25/2023
B
Florida 1/6/2017
B
Pennsylvania 1/8/2013
B
Georgia 8/10/2015
B
South Carolina 4/23/2013
B
Illinois 10/1/2015
B
Tennessee 7/23/2015
B
Indiana 7/22/2015
B
Texas 8/10/2015
IA
Indiana 8/5/2015
IA
Texas 1/6/2020
B
Kentucky 8/10/2015
B
Virginia 3/25/2014
B
Louisiana 7/23/2015
B
Washington 4/24/2019
B
Massachusetts 3/27/2024
B
Wisconsin 2/16/2024
B
Mississippi 8/10/2015
B
Wyoming 2/12/2024
B
Montana 11/11/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
8332 WOODFIELD CROSSING BLVD, INDIANAPOLIS, IN 46240
Registered with this firm since 8/5/2015
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
Registered with this firm since 1/8/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/08/2013 - 12/23/2015 CHARLES SCHWAB & CO., INC. (CRD#:5393) HARRISBURG, PA
B
 10/17/2011 - 01/03/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) YORK, PA
B
 10/13/2009 - 01/15/2010 VALLEY FORGE ASSET MANAGEMENT CORP. (CRD#:7438) KING OF PRUSSIA, PA
IA
 05/09/2007 - 10/22/2008 LPL FINANCIAL CORPORATION (CRD#:6413) HARRISBURG, PA
B
 05/09/2007 - 10/22/2008 LPL FINANCIAL CORPORATION (CRD#:6413) HARRISBURG, PA
IA
 12/08/2006 - 06/07/2007 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) HARRISBURG, PA
B
 12/08/2006 - 06/07/2007 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) HARRISBURG, PA
IA
 11/15/2005 - 11/20/2006 PNC INVESTMENTS (CRD#:129052) HERSHEY, PA
B
 11/15/2005 - 11/20/2006 PNC INVESTMENTS (CRD#:129052) HERSHEY, PA
IA
 02/14/2005 - 10/19/2005 IFMG SECURITIES, INC. (CRD#:14416) HUMMELSTOWN, PA
B
 02/14/2005 - 10/19/2005 IFMG SECURITIES, INC. (CRD#:14416) PURCHASE, NY
IA
 07/19/2004 - 02/11/2005 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) YORK, PA
B
 07/19/2004 - 02/11/2005 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
 01/04/1993 - 06/14/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 01/04/1993 - 06/14/2004 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.