Timothy M. Hodgens
Professional summary
Being a previously registered professional could mean that this person 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.
Timothy Mark Hodgens, who also goes by Tim Hodgens, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1982. Timothy had worked at 6 firms and has passed the Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 1990 - December 31, 1990
COMPREHENSIVE FINANCIAL SERVICES, INC.
April 9, 1990 - July 5, 1990
TRUSTBANK SECURITIES BROKERAGE, INC.
January 26, 1988 - April 30, 1990
MORGAN STANLEY DW INC.
November 4, 1985 - October 14, 1986
RIVIERE SECURITIES CORPORATION
August 22, 1985 - January 27, 1988
DOMIK CORP.
January 21, 1982 - September 11, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 3/2/1982
Interest Rate Options ExaminationCurrent Firm
COMPREHENSIVE FINANCIAL SERVICES, INC.
CRD#: 22710 / SEC#: , 8-39917
Contact information
Documents
Red Flags
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.
