Lucian D. Hodgman
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.
Lucian Deforest Hodgman was a registered financial professional .
Lucian is a previously registered financial professional and started their career in finance in 1991. Lucian had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
October 17, 2014 - February 10, 2015
NEWPORT COAST SECURITIES, INC.
April 4, 2014 - August 18, 2014
BRAVER STERN SECURITIES LLC
September 4, 2013 - March 25, 2014
INVESTORS CAPITAL CORP.
February 9, 2001 - September 5, 2013
MOORS & CABOT, INC.
October 21, 1991 - January 17, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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