James P. Hodgins
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 Paul Hodgins, who also goes by James Paul Hodgin, Jim Hodgins, Jp Hodgins, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1987. James had worked at 6 firms and has passed the Series 65, Series 63 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
July 26, 2007 - December 10, 2008
ZEALOUS CAPITAL MARKETS, LLC.
May 31, 2002 - July 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 31, 2002 - July 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - June 7, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 4, 1993 - June 7, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 17, 1989 - January 18, 1993
LEHMAN BROTHERS INC.
August 12, 1988 - March 15, 1995
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 27, 1987 - August 2, 1988
CIBC WORLD MARKETS 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
ZEALOUS CAPITAL MARKETS, LLC.
CRD#: 136412 / SEC#: , 8-67012
Contact information
Documents
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.
