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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

George Samuel Hoffman

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Mosinee, WI | Minneapolis, MN

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Search this name across graphsid dfx:ria:9df48d49-fb81-3451-bdea-d432ca93d7af

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jan 28, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 9, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Oct 9, 1997
First registration: Jan 28, 1998
Dual registered: yes, broker-dealer
Other names: GEORGE S HOFFMAN|GEORGE SAMUEL HOFFMAN|Geoge S Hoffman
IAPD individual key: 2099728

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Apr 7, 2025	n/a	yes	Minneapolis, MN\|Mosinee, WI	Current employment
HARBOUR INVESTMENTS, INC.	Independent wealth	Mar 3, 2023	Apr 7, 2025	no	Mosinee, WI	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 18, 2018	May 5, 2022	no	Stevens Point, WI\|Wausau, WI\|Wisconsin Rapids, WI\|Eau Claire, WI	Previous registration
HERMENING FINANCIAL GROUP LLC	Former SEC adviser	Dec 8, 2009	May 7, 2018	no	WAUSAU, WI	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Dec 7, 2009	Apr 20, 2018	no	WAUSAU, WI\|GREEN BAY, WI	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Dec 7, 2009	Jun 16, 2010	no	GREEN BAY, WI\|WAUSAU, WI	Previous registration
MIDWEST PROFESSIONAL PLANNERS, LTD.	Independent wealth	Oct 8, 2002	Apr 13, 2009	no	WAUSAU, WI	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Sep 4, 2002	Dec 4, 2009	no	WAUSAU, WI\|WAUSAU, WI	Previous registration
FFP ADVISORY SERVICES INC	n/a	Jan 28, 1998	Aug 22, 2002	no	WAUSAU, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HARBOUR INVESTMENTS, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 7, 2025	Apr 7, 2025	0	Firm change	RIA to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	HARBOUR INVESTMENTS, INC.	May 5, 2022	Mar 3, 2023	302	Firm change	Ibd to RIA
HERMENING FINANCIAL GROUP LLC	AMERIPRISE FINANCIAL SERVICES, LLC	May 7, 2018	Apr 18, 2018	-19	Firm change	RIA to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	HERMENING FINANCIAL GROUP LLC	Apr 20, 2018	Dec 8, 2009	-3,055	Firm change after gap	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jun 16, 2010	Dec 7, 2009	-191	Firm change after gap	Other
EQUITABLE ADVISORS, LLC	MIDWEST PROFESSIONAL PLANNERS, LTD.	Dec 4, 2009	Oct 8, 2002	-2,614	Firm change after gap	Other
MIDWEST PROFESSIONAL PLANNERS, LTD.	FIRST ALLIED SECURITIES, INC.	Apr 13, 2009	Dec 7, 2009	238	Firm change	Other
FFP ADVISORY SERVICES INC	EQUITABLE ADVISORS, LLC	Aug 22, 2002	Sep 4, 2002	13	Firm change	Other

Relationships

Registered with (9)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Apr 7, 2025 to presentfactForm ADV
→ HARBOUR INVESTMENTS, INC.Registered adviserregistration: previous registration
Mar 3, 2023 to Apr 7, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 18, 2018 to May 5, 2022factForm ADV
→ HERMENING FINANCIAL GROUP LLCRegistered adviserregistration: previous registration
Dec 8, 2009 to May 7, 2018factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Dec 7, 2009 to Apr 20, 2018factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Dec 7, 2009 to Jun 16, 2010factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 4, 2002 to Dec 4, 2009factForm ADV
→ MIDWEST PROFESSIONAL PLANNERS, LTD.Registered adviserregistration: previous registration
Oct 8, 2002 to Apr 13, 2009factForm ADV
→ FFP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jan 28, 1998 to Aug 22, 2002factForm ADV

Dated events

Occurred
Apr 7, 2025
Advisor changed firm
George Samuel Hoffman left Harbour Investments, Inc. for Raymond James Financial Services Advisors, Inc (registered 2025-04-07)
Form ADVobserved 5 days ago
Occurred
May 5, 2022
Advisor changed firm
George Samuel Hoffman left Ameriprise Financial Services, Llc for Harbour Investments, Inc. (registered 2023-03-03)
Form ADVobserved 5 days ago