• 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.
Kurt Josef Hoffmann
CRD#: 4800810
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 525 Fulton Avenue
Sacramento, CA 95825-4812
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (<1 year)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2018 - Present (6 years)BMORGAN STANLEY (CRD# 149777)2014 - 2015 (1 year)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2005 - 2006 (<1 year)IAMORGAN STANLEY (CRD# 149777)2015 - 2015 (<1 year)IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2006 - 2006 (<1 year)
Disclosure(s)
View By:
1/31/2018
Financial
Final
License(s)

State Registrations

B
California 7/5/2018

B
Maryland 3/7/2023

IA
California 7/9/2018

B
Nevada 7/29/2022

B
Connecticut 4/15/2021

B
Oregon 3/26/2024

B
District of Columbia 3/13/2023

B
Pennsylvania 9/18/2024

B
Florida 4/26/2022

B
Washington 7/14/2022

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
525 Fulton Avenue, Sacramento, CA 95825-4812
Registered with this firm since 7/9/2018

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
525 Fulton Avenue, Sacramento, CA 95825-4812
Registered with this firm since 7/3/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/18/2016 - 09/26/2016 PRINCIPAL SECURITIES, INC. (CRD#:1137) Roseville, CA
B
05/16/2016 - 09/26/2016 PRINCIPAL SECURITIES, INC. (CRD#:1137) Roseville, CA
IA
01/23/2015 - 12/03/2015 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
B
12/23/2014 - 12/03/2015 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
IA
01/23/2006 - 04/26/2006 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SACRAMENTO, CA
B
07/14/2005 - 04/26/2006 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SACRAMENTO, CA
IA
09/20/2004 - 07/11/2005 MORGAN STANLEY (CRD#:7556) SACRAMENTO, CA
B
08/16/2004 - 07/11/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.