Nick Charles Hoffmann Jr
Investment Adviser Representative at Founders Financial Securities, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nick Charles Hoffmann Jr. is an investment adviser representative with Founders Financial Securities, LLC in Bixby, OK, where they have been registered since 2022. They have worked in the securities industry since 1992 and have been registered with 3 firms, including LPL Financial LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 7 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Oklahoma and Texas.
Registrations & licenses
- Investment adviser:
- Oklahoma, Texas
- Broker:
12 states and territories
Alabama, California, Colorado, Florida, Idaho, Indiana, Kansas, New York, Oklahoma, Oregon, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- LPL Financial, LLCFeb 2009 – Nov 2022Bixby, OK
- Founders Financial Securities LLCNov 2022 – no end date reportedTowson, MD
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Founders Financial Securities, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Subscription fee
- Firm account minimum
- $25,000 (waivable)
- First $1,000,0001.70%
- Above $1,000,0001.40%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 115
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Towson, MD
- SEC file number:
- 801-66892
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of April 20, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nick Charles Hoffmann Jr has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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