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Thomas Hoffmann

H.c.wainwright & CO., LLC

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About Thomas Hoffmann

Thomas Hoffmann is a securities professional with over a decade of experience in the financial services industry. Thomas currently works at H.C. Wainwright & Co., LLC. Prior to this, Thomas held positions at Solebury Capital LLC and Trout Capital LLC. Thomas is licensed to offer securities in New York. Thomas holds the Series 7, Series 24, Series 63 and Series 79TO licenses and the SIE exam.

Firm Information

Thomas Hoffmann is currently registered with H.c.wainwright & CO., LLC. H.c.wainwright & CO., LLC is a Limited Liability Company that was formed in April 2013. They are registered to conduct business in all 50 U.S. states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

11

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Thomas Hoffmann’s Registration & Firm History

NY

05/04/2021 - Present

H.c.wainwright & CO., LLC (NEW YORK NY)

NY

10/31/2018 - 04/30/2021

SOLEBURY CAPITAL LLC (NEW YORK NY)

NY

11/25/2010 - 11/13/2018

TROUT CAPITAL LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/02/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/05/2023

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/24/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Hoffmann.
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