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Timothy Mark Hodgens

CRD# 1028187·Registered 1982 - 1990
Previously Registered: Being a previously registered professional could mean that Timothy is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Timothy Mark Hodgens, who also goes by Tim Hodgens, was a registered financial advisor. Timothy was a previously registered financial professional and started their career in finance 1982 - 1990. Timothy had worked at 6 firms and has passed the Series 5 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Tim Hodgens

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

COMPREHENSIVE FINANCIAL SERVICES, INC.·CRD# 22710
BD
July 3, 1990 - December 31, 1990
TRUSTBANK SECURITIES BROKERAGE, INC.·CRD# 15671
BD
April 9, 1990 - July 5, 1990
MORGAN STANLEY DW INC.·CRD# 7556
BD
January 26, 1988 - April 30, 1990
RIVIERE SECURITIES CORPORATION·CRD# 715
BD
November 4, 1985 - October 14, 1986
DOMIK CORP.·CRD# 223
BD
August 22, 1985 - January 27, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
January 21, 1982 - September 11, 1985

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Current Firm

CF
COMPREHENSIVE FINANCIAL SERVICES, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

CRD#: 22710 / SEC#: 8-39917
BD
Terminated by SEC on 01/11/1998

Contact Information

Established

Maryland since 03/03/1986

Firm Type

Corporation

Fiscal Year End

June

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 5 — Interest Rate Options Examination

Passed Mar 1982

Series 7 — General Securities Representative Examination

Passed Jan 1982About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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TH
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