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Frederick Hoffman

LPL Financial LLC
28 Years of Experience
Riverside, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Frederick Hoffman is a registered investment advisor at LPL Financial LLC, based in Riverside, CA, with 28 years of industry experience. Frederick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3610 Central Ave. Suite 400, Riverside, CA, 92506

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2011
Settled
Customer Dispute
December 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Frederick operates under Livingston Financial Group, Inc. and Life Brokerage Equity Group of CA, dedicating full-time hours to these investment-related activities; he also owns rental real estate. Frederick is also an owner/administrator and agent for Life Brokerage, Inc. and Life Brokerage Financial Group, respectively, focusing on fixed insurance, life, health, disability, and long-term care, spending a few hours per week on these activities.

Employment History
Current Registrations
LPL Financial LLC
February 2018 - Present · 8 yrs 8 mos
LPL Financial LLC
February 2018 - Present · 8 yrs 8 mos
LPL Financial LLCBroker
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Invest Financial Corporation
February 2009 - February 2018 · 9 yrs
Invest Financial CorporationBroker
February 2009 - February 2018 · 9 yrs
Intersecurities, INC.
July 2000 - December 2008 · 8 yrs 5 mos
Intersecurities, INC.Broker
November 1997 - December 2008 · 11 yrs 1 mo
State Registrations20 states
ALAZCACOGAHIIDILMAMTNVNYORPASCSDTNTXUTWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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