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Detailed Report
RODGER ADAM HOOFNAGLE
CRD#: 2979600
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 6400 FANNIN STREET
SUITE 2450
HOUSTON, TX 77030
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2004 (3 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2016 - Present (9 years)BCURIAN CLEARING, LLC (CRD# 132938)2010 - 2015 (5 years)BJACKSON NATIONAL LIFE DISTRIBU... (CRD# 40178)2009 - 2009 (<1 year)BJACKSON NATIONAL LIFE DISTRIBU... (CRD# 40178)2006 - 2007 (1 year)BJ.P. MORGAN SECURITIES INC. (CRD# 18718)2004 - 2005 (1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)1999 - 2000 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1998 - 1999 (1 year)IACURIAN CAPITAL, LLC (CRD# 120270)2009 - 2015 (6 years)IACURIAN CAPITAL, LLC (CRD# 120270)2005 - 2007 (1 year)
License(s)

State Registrations

B
Arkansas 2/12/2018
B
Oklahoma 2/12/2018
B
Kansas 4/20/2016
B
Texas 4/20/2016
B
Louisiana 4/20/2016
IA
Texas 4/20/2016
B
Nebraska 4/20/2016

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
6400 FANNIN STREET SUITE 2450, HOUSTON, TX 77030
Cypress, TX
Registered with this firm since 4/20/2016
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
6400 FANNIN STREET SUITE 2450, HOUSTON, TX 77030
Cypress, TX
Registered with this firm since 4/20/2016
Previous Registration(s)
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IA
 03/02/2009 - 09/15/2015 CURIAN CAPITAL, LLC (CRD#:120270) DENVER, CO
B
 01/29/2010 - 09/15/2015 CURIAN CLEARING, LLC (CRD#:132938) DENVER, CO
B
 03/02/2009 - 12/31/2009 JACKSON NATIONAL LIFE DISTRIBUTORS LLC (CRD#:40178) DENVER, CO
IA
 12/17/2007 - 02/17/2009 NFP SECURITIES, INC. (CRD#:42046) AUSTIN, TX
B
 12/17/2007 - 02/17/2009 NFP SECURITIES, INC. (CRD#:42046) AUSTIN, TX
IA
 09/06/2005 - 08/20/2007 CURIAN CAPITAL, LLC (CRD#:120270) DENVER, CO
B
 01/09/2006 - 08/20/2007 JACKSON NATIONAL LIFE DISTRIBUTORS LLC (CRD#:40178) FRANKLIN, TN
B
 04/05/2004 - 08/30/2005 J.P. MORGAN SECURITIES INC. (CRD#:18718) NEW YORK, NY
IA
 11/09/2000 - 03/16/2004 MUTUAL SERVICE CORPORATION (CRD#:4806) WEST PALM BEACH, FL
B
 11/09/2000 - 03/16/2004 MUTUAL SERVICE CORPORATION (CRD#:4806) BOSTON, MA
B
 12/02/1999 - 11/08/2000 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
B
 01/08/1998 - 10/20/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.