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Wayne Andrew Hoffman

Zacks Investment Management, Inc.

Chicago, IL

CRD 3169636

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Employer firm

Zacks Investment Management, Inc. CRD 110897

$14.6B regulatory AUM 25 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • CREATES AND MANAGES QUANTITATIVE INVESTMENT MODELS THAT ARE LICENSED TO SPONSORS OF UITS AND ETFS

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

Current Employers
Zacks Investment Management, Inc.

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2018-06-08
OH RA APPROVED 2018-06-07
  • IL RA
    APPROVED
    Since 2018-06-08
  • OH RA
    APPROVED
    Since 2018-06-07

Branch Locations

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • 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
Arrow Investment Advisors, Llc Olney MD 04/2014 08/2017
Unemployed Chicago IL 08/2017 06/2018
Zacks Investment Management Chicago IL 06/2018 Present
Lbmz Securities Inc Chicago IL 06/2018 Present
  • 04/2014 → 08/2017
    Arrow Investment Advisors, Llc
    Olney, MD
  • 08/2017 → 06/2018
    Unemployed
    Chicago, IL
  • 06/2018 → Present
    Zacks Investment Management
    Chicago, IL
  • 06/2018 → Present
    Lbmz Securities Inc
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-07
S63 Uniform Securities Agent State Law Examination 1999-01-15
  • S66 Uniform Combined State Law Examination
    2003-07-07
  • S63 Uniform Securities Agent State Law Examination
    1999-01-15
Other Names
  • Wayne Andrew Hoffman

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

More in Chicago, IL

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