Philip B. Hodgins
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.
Philip Bruce Hodgins was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1992. Philip had worked at 8 firms and has passed the Series 63, Series 72, SIE, Series 3 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
December 5, 2022 - July 30, 2025
TD SECURITIES (USA) LLC
July 13, 2021 - December 7, 2022
SANTANDER US CAPITAL MARKETS LLC
March 19, 2018 - July 15, 2021
CREDIT SUISSE SECURITIES (USA) LLC
June 22, 2015 - March 16, 2018
SANTANDER US CAPITAL MARKETS LLC
November 8, 2012 - November 7, 2014
BNY MELLON CAPITAL MARKETS, LLC
May 21, 2012 - November 6, 2012
GUGGENHEIM SECURITIES, LLC
November 1, 2010 - December 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2008 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
November 15, 2004 - July 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1998 - July 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 1992 - May 7, 1997
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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