Thomas R. Hobbis
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 Rogers Hobbis, who also goes by Thomas Rogers Hobbis III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 6 firms and has passed the 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
November 22, 2021 - April 5, 2022
ARCOLA SECURITIES, INC.
April 10, 2018 - December 5, 2019
ARCOLA SECURITIES, INC.
April 1, 2011 - March 27, 2017
FIRST CITIZENS CAPITAL SECURITIES, LLC
April 21, 2010 - December 10, 2010
TRUIST SECURITIES, INC.
October 4, 2005 - March 27, 2009
FIRST CITIZENS CAPITAL SECURITIES, LLC
May 7, 2002 - September 7, 2005
ING FINANCIAL MARKETS LLC
April 30, 2001 - April 17, 2002
ABN AMRO INCORPORATED
April 19, 2000 - April 30, 2001
ABN AMRO SECURITIES 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
Current Firm
ARCOLA SECURITIES, INC.
CRD#: 147952 / SEC#: , 8-67940
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANNALY TRS, INC. | SHAREHOLDER | |
| GRIFFIN, JOHANNA | DIRECTOR | 2008809 |
| HERNANDEZ, MIKE | CFO/FINOP, TREASURER | 3042594 |
| HUNT, JON THOMAS | DIRECTOR, PRESIDENT | 2929809 |
| KOUKOURAS, PANAGIOTI | DIRECTOR | 4694542 |
| MCKIM, JASON DAVID | GENERAL COUNSEL, SECRETARY | 6333143 |
| TRUZZI, ROCHELLE ANN | CHIEF COMPLIANCE OFFICER, AMLCO | 2754706 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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