Jeffrey W. Hockanson
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.
Jeffrey Wade Hockanson, who also goes by Jeffrey W Hockanson, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7, Series 62, Series 4, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2008 - January 21, 2009
WORLD GROUP SECURITIES, INC.
December 21, 2000 - June 30, 2006
INTEGRITY TRADING, INC.
December 15, 1994 - February 5, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
November 17, 1994 - December 9, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
July 13, 1993 - November 28, 1994
H.J. MEYERS & CO., INC.
November 23, 1990 - June 3, 1993
CHATFIELD DEAN & CO., INC.
March 5, 1990 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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 55
Date: 8/16/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 3/1/1990
Corporate Securities Limited Representative ExaminationSeries 28
Date: 12/22/1999
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
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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