Hubert J. Foster
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.
Hubert James Foster JR, who also goes by Hubert James Foster, Hubie Foster, was a registered financial professional .
Hubert is a previously registered financial professional and started their career in finance in 1986. Hubert had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2017 - December 12, 2018
CHARLES SCHWAB & CO., INC.
January 3, 2017 - December 12, 2018
CHARLES SCHWAB & CO., INC.
May 6, 2015 - November 10, 2016
EAGLE FINANCIAL ADVISORS, LLC
September 8, 2008 - April 1, 2015
SIGNAL SECURITIES, INC.
October 31, 2005 - September 10, 2008
OSAIC SERVICES, INC.
January 7, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 1, 1998 - December 31, 2002
SIGNAL SECURITIES, INC.
September 5, 1997 - September 14, 1998
OMEGA SECURITIES, INC.
January 13, 1992 - July 31, 1997
FIDELITY BROKERAGE SERVICES LLC
July 29, 1991 - December 31, 1991
SIGNAL SECURITIES, INC.
April 18, 1991 - July 31, 1991
PROSPERA FINANCIAL SERVICES, INC.
April 18, 1990 - March 22, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
April 18, 1990 - March 22, 1991
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 26, 1989 - August 4, 1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
February 19, 1986 - September 7, 1988
TEXAS SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 8
Date: 3/5/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
