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James Hoffman

Cetera Investment Advisers LLC
30 Years of Experience
Eatontown, NJ
4 DisclosuresBroker
View SEC Summary
View SEC Summary

James Hoffman is a registered investment advisor at Cetera Investment Advisers LLC, based in Eatontown, NJ, with 30 years of industry experience. James 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

442 Highway 35 South, Bldg A 1st Floor, Eatontown, NJ, 07724

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History

Regulatory History (4)
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 2021
Withdrawn
Employment Separation After Allegations
December 1998
Customer Dispute
September 1998
Settled
Customer Dispute
August 1998
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Advisors LLCBroker
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
Cetera Advisors LLC
July 2022 - March 2024 · 1 yr 8 mos
National Asset Management, INC.
March 2018 - July 2022 · 4 yrs 4 mos
National Securities CorporationBroker
December 2014 - July 2022 · 7 yrs 7 mos
J.P. Turner & Company, L.L.C.Broker
March 1999 - December 2014 · 15 yrs 9 mos
A.S. Goldmen & CO., INC.Broker
October 1995 - October 1998 · 3 yrs
State Registrations25 states
CACOCTDEFLGAILINMAMDMIMNMONCNHNJNVNYOHPARISDTXVAWA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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