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JH

Jeffrey D. Hotch

CABRERA CAPITAL MARKETS
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1886497
JH

Professional summary

Jeffrey David Hotch, who also goes by `jeffrey David Hotch, is a registered financial professional currently at CABRERA CAPITAL MARKETS, LLC located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1988. Jeffrey has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

`jeffrey David Hotch

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) - BD

Click below to view Jeffrey David Hotch's CRS (Customer Relationship Summary).

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

Current

October 22, 2021 - Present

CABRERA CAPITAL MARKETS, LLC

Office #1: 1230 Avenue Of The Americas Ste. 1902, New York, NY 10020
BD
CRD#: 10081
NEW YORK, NY
Past

November 5, 2019 - September 27, 2021

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
NEW YORK, NY
Past

January 7, 2019 - November 5, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

BD
CRD#: 35149
NEW YORK, NY
Past

November 16, 2016 - November 28, 2017

MULTI-BANK SECURITIES, INC.

BD
CRD#: 22098
New York, NY
Past

June 24, 2013 - February 3, 2016

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

November 8, 2010 - June 25, 2013

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
NEW YORK, NY
Past

July 6, 2009 - July 29, 2010

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

July 3, 2008 - January 14, 2009

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

June 13, 2007 - May 6, 2008

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

March 1, 2005 - June 27, 2005

CANTOR FITZGERALD & CO.

RIA
CRD#: 134
NEW YORK, NY
Past

February 23, 2005 - June 5, 2007

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 17, 2004 - February 25, 2005

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

October 17, 2002 - June 10, 2004

WESTPORT RESOURCES MANAGEMENT INC

RIA
CRD#: 105306
WESTPORT, CT
Past

October 9, 2002 - June 10, 2004

SMH CAPITAL INVESTMENTS LLC

BD
CRD#: 24535
FT. WORTH, TX
Past

May 24, 2001 - October 16, 2002

OSAIC FS, INC.

RIA
CRD#: 3870
EAST HARTFORD, CT
Past

March 20, 2001 - October 16, 2002

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

February 18, 1997 - June 5, 2000

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 21, 1996 - March 4, 1997

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

May 17, 1995 - January 24, 1996

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

November 13, 1989 - January 16, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

October 6, 1988 - November 15, 1989

MANUFACTURERS HANOVER SECURITIES CORPORATION

BD
CRD#: 14434

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(7/23/2025)
RR
New York
(10/24/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/6/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CABRERA CAPITAL MARKETS, LLC
CABRERA CAPITAL MARKETS, INC. | FIRST SECURITIES CORPORATION | CABRERA CAPITAL MARKETS, LLC

CRD#: 10081 / SEC#: , 8-26406

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Mailing Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Phone number
(312) 236-8888
Established
Delaware since 04/10/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CABRERA CAPITAL, LLCOWNER
RCF-CABRERA HOLDINGS, INC.OWNER
AGUILAR, ROBERT LUISPRESIDENT4860643
CABRERA, MARTIN [NMN] JRCEO2504167
WORF, JEFF ALLENCHIEF COMPLIANCE OFFICER1416591

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

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081New York, NY 10020

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