James E. Hodapp
Professional summary
James Edward Hodapp, who also goes by Jim Hodapp, is a registered financial professional currently at SAMI BROKERAGE LLC located in Stamford, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 1982. James has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Edward Hodapp's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2015 - Present
SAMI BROKERAGE LLC
Office #1: 2 High Ridge Park 2nd Floor, Stamford, CT 06905January 1, 2008 - November 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 23, 1982 - January 3, 2008
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/3/2015)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(2/6/2020)
(2/6/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/21/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
SAMI BROKERAGE LLC
CRD#: 18217 / SEC#: 801-undefined, 8-36472
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPECTRUM ASSET MANAGEMENT, INC. | 100% OWNER | |
| BYER, MATTHEW ROSS | CHIEF INFORMATION SECURITY OFFICER | 3120607 |
| HANCZOR, JOSEPH ANDREW | CHIEF COMPLIANCE OFFICER | 5200684 |
| JACOBY, LEWIS PHILLIP IV | HEAD OF TRADING | 1238147 |
| LIEB, MARK ALAN | PRESIDENT | 853490 |
| ORLANDO, JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | 1197909 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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