Articles Tagged with Clay Hoffman

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Clay Hoffman

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 7, 2017 indicate that former Georgia-based Summit Brokerage Services broker/adviser Clay Hoffman has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hoffman (CRD# 4371162).

Clay Hoffman has spent 14 years in the securities industry and was most recently registered with Summit Brokerage Services in Brunswick, Georgia (2013-2016). Previous registrations include SunTrust Investment Services in St. Simons, Georgia; Merrill Lynch, Pierce, Fenner & Smith in Ponte Vedra Beach, Florida; and Edward Jones in Tifton, Georgia. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received ten customer complaints and four regulatory sanctions.

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iStock_sad pplThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Georgia-based Summit broker/adviser Clay Hoffman (CRD# 4371162).

Clay Hoffman has spent fourteen years in the securities industry and has been registered with Summit Brokerage Services in Brunswick, Georgia since 2013. Summit Brokerage Services is a member of the Cetera Financial Group and RCS Capital. Mr. Hoffman’s previous registrations include SunTrust Investment Services in St. Simons, Georgia (2007-2013); Merrill Lynch, Pierce, Fenner & Smith in Ponte Vedra Beach, Florida (2007); and Edward Jones in Tifton, Georgia (2001-2007). He is a broker and investment adviser registered in Georgia.

According to his BrokerCheck report, Clay Hoffman is the subject of seven customer complaints, four pending customer complaints, and was discharged from SunTrust Investment Services.