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Kerry Hoffman: B. Riley Advisor Faces $200K Complaint

Recent investor complaints against Boca Raton financial advisor Kerry Hoffman (CRD# 2224354) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with B. Riley Investments, having previously been registered with National Securities Corporation and Morgan Stanley

Mr. Hoffman’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in June 2023, alleges that as a representative of National Securities Corporation, he recommended unsuitable and speculative investments in common and preferred stock products. The pending complaint alleges damages of $200,000.

An earlier investor complaint, filed in April 2022, alleged that as a representative of National Securities Corporation, he recommended an unsuitable variable annuity product. The complaint reached a settlement of $40,000.

A third investor complaint, filed in 2008, alleged that he made unsuitable recommendations and unauthorized transactions while a representative of Raymond James Financial Services. The complaint alleged unspecified damages and was denied by the firm.

According to the Financial Industry Regulatory Authority, Kerry Hoffman holds 31 years of securities industry experience. Based in Boca Raton, Florida, he has been a broker and an investment advisor with B. Riley Wealth Management since 2022 and 2020, respectively. His past registrations include National Securities Corporation (Boca Raton, Florida; 2020-2022), Morgan Stanley (Boca Raton, Florida; 2012-2020), Raymond James Financial Services (Wellington, Florida; 2003-2012), High Mark Securities (Lakeland, Florida; 2001-2003), Prime Charter (New York, New York; 1997-2001), GKN Securities (New York, New York; 1996-1997), Gruntal & Company (New York, New York; 1994-1996), and Continental Broker-Dealer (Carle Place, New York; 1992-1994). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 26 state licenses. (Information current as of July 9, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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