Mark M Hoffman

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2007 → 11/2016
  Mutual Of Omaha
  Baltimore, MD
• 06/2008 → 11/2016
  Mutual Of Omaha Investor Services, Inc
  Baltimore, MD
• 11/2016 → 02/2020
  Axa Advisors, Llc
  New York, NY
• 02/2020 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2016-11-08 → 2020-02-27
  Equitable Advisors, Llc
  Gaithersburg, MD
  Gaithersburg, MD
  Conshohocken, PA
  Palm Coast, FL
• 2013-05-28 → 2016-11-08
  Mutual Of Omaha Investor Services, Inc.
  Blue Bell, PA
  Hunt Valley, MD
  Gaithersburg, MD

Other Businesses

MARK M HOFFMAN UNDERDOG UNDERDOG LLC/PERSONAL /EIN POSITION: Individual owner of LLC NATURE: Personal LLC only INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/10/2020 ADDRESS: 17 Egret Dr, Palm Coast FL 32137, United States DESCRIPTION: Only for making contribution for 401k, Not related to any client or BD activity LIFE/HEALTH/ANNUITIES/FMO COMPANIES, MADISON/GRADIENT/PRECISION SENIOR MARKETING POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/28/2020 ADDRESS: 100 C Island Cottage Way, St Augustine FL 32080, United States DESCRIPTION: Helping client with insurance needs in conjunction with retirement planning. Life, Health, LTC, Disability. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2020-02-21,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-05-22
• S63 Uniform Securities Agent State Law Examination
  2011-03-07