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CHRISTOPHER EDWARD HOFMANN
CRD#: 5742814
IA
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WELLS FARGO ADVISORSCRD#: 19616 3059 TOWNSGATE RD
4TH FL, STE 400
WESTLAKE VILLAGE, CA 91361
4TH FL, STE 400
WESTLAKE VILLAGE, CA 91361
0
Disclosures
15
Years of Experience
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State Registrations
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Alaska 8/3/2022
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Montana 1/10/2025
B
Arizona 4/7/2017
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Nevada 6/29/2015
B
Arkansas 10/2/2023
B
New Jersey 8/12/2022
B
California 5/2/2014
B
New York 3/20/2020
IA
California 5/5/2014
B
Ohio 9/12/2024
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Colorado 5/4/2020
B
South Carolina 12/5/2023
B
Connecticut 1/27/2025
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Texas 3/14/2019
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Florida 8/29/2018
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Texas 3/15/2019
B
Illinois 10/30/2024
B
Utah 1/11/2022
B
Indiana 9/6/2024
B
Virginia 7/26/2023
B
Michigan 10/10/2022
B
Washington 7/3/2019
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Minnesota 5/2/2016
SRO Registrations
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Registered with this firm since 5/5/2014
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Registered with this firm since 5/2/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 05/09/2014 | AGOURA HILLS, CA | |
B | 10/01/2012 - 05/09/2014 | AGOURA HILLS, CA | |
IA | 12/15/2011 - 10/01/2012 | AGOURA HILLS, CA | |
B | 12/15/2011 - 10/01/2012 | AGOURA HILLS, CA | |
IA | 03/11/2010 - 11/30/2011 | BROOMFIELD, CO | |
B | 01/26/2010 - 11/30/2011 | BROOMFIELD, CO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.