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Robert Howard Hoffman

Morgan Stanley

Santa Fe, NM

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-12-18
NM RA APPROVED 2022-01-10
TX RA APPROVED_RES 2022-01-10
  • CT RA
    APPROVED
    Since 2023-12-18
  • NM RA
    APPROVED
    Since 2022-01-10
  • TX RA
    APPROVED_RES
    Since 2022-01-10

Branch Locations

150 Washington Avenue Suite 301, Santa Fe, NM 87501 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Santa Fe NM 06/2006 01/2022
Morgan Stanley Smith Barney Llc Santa Fe NM 01/2022 Present
Morgan Stanley Private Bank, N.A New York NY 03/2022 Present
  • 06/2006 → 01/2022
    Ubs Financial Services Inc.
    Santa Fe, NM
  • 01/2022 → Present
    Morgan Stanley Smith Barney Llc
    Santa Fe, NM
  • 03/2022 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-01-17
S63 Uniform Securities Agent State Law Examination 1983-04-01
  • S66 Uniform Combined State Law Examination
    2005-01-17
  • S63 Uniform Securities Agent State Law Examination
    1983-04-01

View on SEC IAPD

Other Firms

WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
G. ALLEN FINANCIAL INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
EP WEALTH ADVISORS
EDWARD JONES
UBS FINANCIAL SERVICES INC.
RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

LAWRENCE ELLIOT SCHWARTZ
ANTONIO CARLOS LOPEZ
ROBERT CALDER STACK
BRUCE HOWARD GALPERT
JESSICA LEIGH MARLOWE
QUENTIN JOHN HEFFRON
JOHN BARRY GERST
JILL MARIE ENLOE

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · SANTA FE, NM
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SANTA FE, NM
G. ALLEN FINANCIAL INC. · SANTA FE, NM
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SANTA FE, NM
EP WEALTH ADVISORS · Santa Fe, NM
EDWARD JONES · SANTA FE, NM
UBS FINANCIAL SERVICES INC. · SANTA FE, NM
RAYMOND JAMES & ASSOCIATES, INC. · SANTA FE, NM

More in Santa Fe, NM

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