Unclaimed Profile

Ross Floyd Hoffman

HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.·VENTURA, California

SIE, Series 1, Series 7TO, Series 24, Series 63, Series 65CFP29 years registeredHOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.

121 N. FIR STREET, SUITE D, VENTURA, CA 93001CRD# 803445Firm CRD# 134563

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ross Floyd Hoffman · VENTURA, CA

Registration

CRD #803445 · HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.

GIRARD SECURITIES, INC.

Jun 2010 – May 2016

VENTURA, CA

HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC.

Jan 2009 – Apr 2026

VENTURA, CA

M HOLDINGS SECURITIES, INC.

Jul 2002 – Oct 2006

VENTURA, CA

HOFFMAN & ASSOCIATES FINANCIAL AND ESTATE ADVISORS, INC.

Jul 1997 – Dec 2008

VENTURA, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7TO

Series 24

Series 63

Series 65

Registration record

First registered · July 8, 1997

Years registered · 29

Professional designation · CFP

Disclosure History

2023Customer Dispute·Settled

2010Employment Separation After Allegations

2001Customer Dispute·Settled

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.

CRD 134563 · SEC 801-125720

AUM

$25M

Regulatory assets under management

Employees

48 client accounts

Services offered by HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Ross Floyd Hoffman offer?

Ross Floyd Hoffman specializes in Financial Planning, Investment Management.

What are Ross Floyd Hoffman's credentials?

Ross Floyd Hoffman holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Ross Floyd Hoffman located?

Ross Floyd Hoffman is based in VENTURA, California, last registered with HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC..

How does Ross Floyd Hoffman charge for services?

Ross Floyd Hoffman's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC.?

HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. has approximately 3 employees and manages $25M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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