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TH

Thomas C. Hocker

Some features on this profile are disabled
CRD#: 1720385
TH

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.

Thomas Corbett Hocker was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 8 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 13, 2007 - July 5, 2012

BROADBAND CAPITAL MANAGEMENT, LLC

BD
CRD#: 48001
NEW YORK, NY
Past

December 4, 2001 - February 1, 2007

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
WHITE PLAINS, NY
Past

April 30, 2001 - May 29, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

November 20, 2000 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

December 14, 1999 - October 9, 2000

NEXBRIDGE CAPITAL MARKETS LLC

BD
CRD#: 45631
CHICAGO, IL
Past

February 5, 1999 - December 13, 1999

HCFP BRENNER SECURITIES, LLC

BD
CRD#: 46003
NEW YORK, NY
Past

September 18, 1996 - February 5, 1999

LOEWENBAUM & COMPANY INCORPORATED

BD
CRD#: 26560
AUSTIN, TX
Past

October 4, 1995 - July 17, 1996

AMERICUS INVESTMENT CORP.

BD
CRD#: 38636
ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/1995
General Securities Representative Examination

Current Firm

BC
BROADBAND CAPITAL MANAGEMENT, LLC
BROADBAND CAPITAL MANAGEMENT, LLC

CRD#: 48001 / SEC#: , 8-51992

BD
Terminated by SEC on 06/07/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROADBAND CAPITAL HOLDINGS, LLC96.1% OWNER
WAGENHEIM, PHILIP ROBERTVICE CHAIRMAN/ GSP/ .78% OWNER2243599
WAGENHEIM, PHILIP ROBERTCHIEF COMPLIANCE OFFICER (CCO)2243599
RAPOPORT, MICHAEL DAVIDCHAIRMAN/ 3.12% OWNER2027143
STOLTZ, MARC HAROLDFINOP1008943

Disclosures

Regulatory Event4

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.

Company Information

BROADBAND CAPITAL MANAGEMENT, LLC

CRD#: 48001

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