Timothy R. Hogan
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 Richard Hogan, who also goes by Timothy R Hogan, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1986. Timothy had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 3 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
April 8, 2011 - July 23, 2012
LEGEND SECURITIES, INC.
August 23, 2010 - May 10, 2011
MERRIMAC CORPORATE SECURITIES, INC.
August 20, 2007 - August 28, 2008
J.P. TURNER & COMPANY, L.L.C.
April 30, 1999 - December 13, 2006
ACCESS SECURITIES, LLC
May 13, 1993 - May 12, 1999
WACHOVIA SECURITIES, INC.
September 20, 1991 - April 24, 1992
LEHMAN BROTHERS INC.
January 1, 1988 - March 21, 1990
MARSH & MCLENNAN SECURITIES CORPORATION
February 19, 1986 - December 31, 1987
MML INVESTORS SERVICES, LLC
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 55
Date: 2/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
