Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Seth Hoffman is a financial advisor with over 40 years of experience in the industry. Herbert is currently registered with UBS Financial Services Inc. and has previously been affiliated with firms such as Morgan Stanley DW Inc., C.E. Unterberg, Tobin (A California Limited Partnership), Dominick & Dominick LLC, and Kalb, Voorhis & Co., LLC. Herbert is also a member of the Board of Directors for the JDRF. Herbert offers a wide range of services to individuals, businesses, and institutions, including financial planning, portfolio management, pension consulting, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
05/18/2021 - Present
UBS Financial Services Inc. (JERICHO NY)
NY
11/12/2001 - 09/13/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
11/22/1999 - 11/12/2001
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (NEW YORK NY)
CT
01/21/1997 - 11/22/1999
DOMINICK & DOMINICK LLC (OLD GREENWICH CT)
NY
09/25/1978 - 01/23/1997
KALB, VOORHIS & CO., LLC (NEW YORK NY)
IA
Issued 05/22/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/24/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/16/1978
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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