Thomas Hoffman has been an investment adviser representative at Asset One Wealth Management since April 2026, and is not listed among the firm’s executive officers or direct owners.
Asset One Wealth Management, LLC is a Bellevue, WA firm with $983M under management, 1,173 clients and 9 advisers across 9 offices, as of its October 2026 filing.
Thomas Hoffman’s longest registration was 12 years at LPL Financial Corporation (1997–2010). Before joining Asset One Wealth Management in 2026, Thomas Hoffman was registered through Rba Wealth Management, LLC and PKS Advisory Services, LLC.
- – present · under a yearLake Forest, CA · Adviser representative · Firm CRD 336350
- Rba Wealth Management, LLC– · 6 yearsNewport Beach, CA · Adviser representative · Firm CRD 291029
- PKS Advisory Services, LLC– · under a yearAlbany, NY · Adviser representative · Firm CRD 125648
- Morgan Stanley– · 7 yearsNewport Beach, CA · Adviser representative · Firm CRD 149777
- LPL Financial Corporation– · 12 yearsIrvine, CA · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Thomas Hoffman is registered as an investment adviser representative in California, since April 2026.
- CaliforniaSince 22 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 12 April 2011 |
| Series 31 | Futures Managed Funds Examination | 26 January 2004 |
| Series 3 | National Commodity Futures Examination | 8 July 1986 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 July 1981 |
| Series 7 | General Securities Representative Examination | 20 June 1981 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Futures Managed Funds Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Alan Hoffman
- CRD
- 1000278
- Firm
- Asset One Wealth Management · CRD 336350
- Office
- Lake Forest, CA
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1981
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Thomas Hoffman work?
Thomas Hoffman is an investment adviser representative registered through Asset One Wealth Management, LLC since April 2026, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Hoffman a financial advisor?
Yes. Thomas Hoffman has a current investment-adviser registration in California, through Asset One Wealth Management since April 2026.
How many years of experience does Thomas Hoffman have?
Thomas Hoffman has 45 years in the financial industry, since July 1981, across 5 adviser firms.
What exams has Thomas Hoffman passed?
Thomas Hoffman has passed 5 licensing exams: the Series 7, Series 63, Series 3, Series 31 and Series 66. The earliest, the Series 7, was passed in June 1981. FINRA credited Thomas Hoffman with the SIE, which began in October 2018.
Where did Thomas Hoffman work before Asset One Wealth Management?
Before Asset One Wealth Management, Thomas Hoffman was registered through Rba Wealth Management, LLC, November 2019 to March 2026; PKS Advisory Services, LLC, November 2017 to January 2018; Morgan Stanley, August 2010 to November 2017; LPL Financial Corporation, December 1997 to September 2010.
Where is Thomas Hoffman based?
Thomas Hoffman’s registered office is in Lake Forest, CA.
Is Thomas Hoffman registered with FINRA?
Yes. Thomas Hoffman has a current broker registration, under CRD 1000278.
Source: FINRA BrokerCheck
How can I verify Thomas Hoffman’s record?
Search CRD 1000278 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Hoffman’s full registration record.