Articles Tagged with Scott Hoffman

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Scott HoffmanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that Pennsylvania-based Morgan Stanley broker/adviser Scott Hoffman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hoffman (CRD# 1223634).

Scott Hoffman has spent 33 years in the securities industry and has been registered with Morgan Stanley in Allentown, Pennsylvania since 2009. Previous registrations include Citigroup Global Markets in Allentown, Pennsylvania (1993-2009); Lehman Brothers in New York, New York (1993); Prudential Securities Incorporated in New York, New York (1984-1993); and First Investors Corporation (1984). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), obtained on January 13, 1993; Series 63 (Uniform Securities Agent State Law Examination), obtained on December 23, 1983; Series 31 (Futures Managed Funds Examination), obtained on November 29, 1993; Series 7 (General Securities Representative Examination), obtained on December 15, 1984; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 20, 1983. He is a registered broker and investment adviser with 15 US states and territories: Alabama, California, Colorado, Delaware, Florida, Georgia, Illinois, Louisiana, Maryland, Mississippi, New Jersey, New York, Pennsylvania Texas and Virginia. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and five denied customer complaints.