Victor J. Hazard
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.
Victor James Hazard IV, who also goes by VIctor James (iv) Hazard, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1988. Victor had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 28 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2010 - August 13, 2026
INSTITUTIONAL CASH DISTRIBUTORS, LLC
April 9, 2003 - January 26, 2010
AVANTAX INVESTMENT SERVICES, INC.
September 22, 1988 - April 27, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 22, 1988 - April 27, 1989
PRUCO 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 11/17/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
INSTITUTIONAL CASH DISTRIBUTORS, LLC
CRD#: 149635 / SEC#: , 8-68161
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICD INTERMEDIATE HOLDCO 2 LLC | HOLDING COMPANY | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| HAZARD, VICTOR JAMES IV | CEO / COO | 1871503 |
| KAHNEY, DOUGLAS RYAN | CHIEF COMPLIANCE OFFICER | 4903813 |
| NEWTON, THOMAS PHILLIP | MANAGING DIRECTOR | 2114728 |
| PITTINSKY, JONATHAN DAVID | CFO/FINOP | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
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.
