Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Richard Horace Hoffman
CRD#: 247863
IA
Investment Adviser
B
Broker
GROVE POINT ADVISORS, LLCCRD#: 313171 Palm, PA
GROVE POINT INVESTMENTS, LLCCRD#: 1763 PALM, PA
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2003 - 2010 (6 years)IAGROVE POINT ADVISORS, LLC (CRD# 313171)2021 - Present (3 years)BGROVE POINT INVESTMENTS, LLC (CRD# 1763)2010 - Present (15 years)BFSC SECURITIES CORPORATION (CRD# 7461)1987 - 2003 (16 years)BAMERICAN CAPITAL FINANCIAL SER... (CRD# 146)1975 - 1987 (12 years)BPENNSYLVANIA FUNDS CORPORATION (CRD# 3005)1969 - 1977 (8 years)BAMERICAN GENERAL CAPITAL DISTR... (CRD# 6699)1974 - 1975 (1 year)IAH. BECK, INC. (CRD# 1763)2010 - 2021 (11 years)
Disclosure(s)
View By:
1/29/2010
Employment Separation After Allegations
9/17/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/3/2010
B
New Jersey 2/18/2010
B
California 2/18/2010
B
New York 2/18/2010
B
Colorado 5/23/2013
B
North Carolina 1/20/2015
B
Connecticut 2/18/2010
B
Ohio 4/8/2010
B
Delaware 2/22/2010
B
Pennsylvania 2/18/2010
B
Florida 7/30/2010
IA
Pennsylvania 4/1/2021
B
Georgia 2/16/2017
B
South Carolina 2/18/2010
B
Idaho 1/12/2021
B
Tennessee 9/11/2019
B
Indiana 8/23/2011
B
Texas 2/18/2010
B
Maryland 2/23/2010
IA
Texas 12/21/2023
B
Massachusetts 3/6/2025
B
Vermont 3/30/2010
B
Montana 1/12/2022
B
Virginia 3/25/2010
B
Nebraska 1/2/2025
B
West Virginia 2/18/2010

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
GROVE POINT ADVISORS, LLC (CRD#:313171)
Palm, PA
Registered with this firm since 4/1/2021
B
GROVE POINT INVESTMENTS, LLC (CRD#:1763)
PALM, PA
Registered with this firm since 2/18/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/19/2010 - 04/01/2021 H. BECK, INC. (CRD#:1763) ROCKVILLE, MD
IA
 12/10/2003 - 02/24/2010 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) PALM, PA
B
 12/01/2003 - 02/24/2010 SECURITIES AMERICA, INC. (CRD#:10205) PALM, PA
B
 01/06/1987 - 12/02/2003 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 01/13/1975 - 01/16/1987 AMERICAN CAPITAL FINANCIAL SERVICES, INC. (CRD#:146)
B
 01/01/1969 - 03/04/1977 PENNSYLVANIA FUNDS CORPORATION (CRD#:3005)
B
 06/13/1974 - 08/07/1975 AMERICAN GENERAL CAPITAL DISTRIBUTORS, INC. (CRD#:6699)
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.