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Kurt Hoffer

Cetera Investment Advisers LLC
35 Years of Experience
Charlotte, NC
11 DisclosuresBroker
View SEC Summary
View SEC Summary

Kurt Hoffer is a registered investment advisor at Cetera Investment Advisers LLC, based in Charlotte, NC, with 35 years of industry experience. Kurt is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

6135 Park South Dr, Ste 510, Charlotte, NC, 28210

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History

Regulatory History (11)
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
June 2017
Settled
Customer Dispute
March 2017
Settled
Customer Dispute
March 2017
Settled
Employment Separation After Allegations
May 2011
Customer Dispute
March 2007
Denied
Customer Dispute
May 2004
Denied
Customer Dispute
April 2002
Settled
Customer Dispute
January 2002
Settled
Customer Dispute
December 2001
Settled
Customer Dispute
October 2001
Settled
Customer Dispute
September 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kurt is a managing director at Queen City Financial Strategies, dedicating nearly full-time hours to this role. He also owns KLH Property Solutions LLC, dealing with real estate, and spends about 10-20% of his time on fitness training, selling health supplements, and distributing portable chargers.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLC
September 2019 - Present · 7 yrs 1 mo
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
April 2021 - June 2023 · 2 yrs 2 mos
Summit Financial Group INC
May 2011 - May 2021 · 10 yrs
Summit Brokerage Services, INC.Broker
May 2011 - September 2019 · 8 yrs 4 mos
Ic Advisory Services, INC.
June 2006 - May 2011 · 4 yrs 11 mos
The Investment Center, INC.Broker
January 2006 - May 2011 · 5 yrs 4 mos
The Investment Center, INC.
January 2006 - June 2006 · 5 mos
Legg Mason Wood Walker INC
May 2002 - January 2006 · 3 yrs 8 mos
Legg Mason Wood Walker, IncorporatedBroker
November 2001 - January 2006 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1999 - November 2001 · 2 yrs 2 mos
First Union Brokerage Services, INC.Broker
January 1996 - September 1999 · 3 yrs 8 mos
Marketing One Securities, INC.Broker
January 1995 - January 1996 · 1 yr
Metlife Securities INC.Broker
December 1990 - January 1995 · 4 yrs 1 mo
Metropolitan Life Insurance CompanyBroker
December 1990 - January 1995 · 4 yrs 1 mo
State Registrations14 states
CTDCFLGAINNCNJNYOHORPASCTXVA
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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