James J. Hoban
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.
James John Hoban, who also goes by James John Hoban, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 14 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2010 - December 31, 2011
BRIDGE CAPITAL ASSOCIATES, INC.
April 23, 2010 - July 8, 2010
CFG CAPITAL MARKETS, LLC
March 16, 2009 - April 19, 2010
DREXEL HAMILTON, LLC
October 10, 2008 - March 4, 2009
THE RIDERWOOD GROUP INCORPORATED
October 13, 2006 - October 1, 2008
STANFORD GROUP COMPANY
June 14, 2005 - November 13, 2006
FIRST DOMINION CAPITAL CORP.
March 23, 1999 - September 9, 2002
COLEMAN & COMPANY SECURITIES, INC.
August 5, 1998 - May 6, 1999
CONSECO SECURITIES, INC.
May 12, 1998 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
December 2, 1996 - September 4, 1997
COREBRIDGE CAPITAL SERVICES, INC.
October 18, 1996 - November 13, 1996
AFSG SECURITIES CORPORATION
November 25, 1994 - September 19, 1995
AFSG SECURITIES CORPORATION
July 10, 1993 - May 25, 1994
WESTCAP SECURITIES, L.P.
July 10, 1993 - May 25, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
April 19, 1984 - October 26, 1993
PLM SECURITIES CORP.
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
Current Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
