Matthew H. Hodges
Professional summary
Matthew Henryneal Hodges, who also goes by Matt Hodges, Matthew Henry Neal Hodges, Matthew Henry Noel Hodges, Matthew Henryneal Hodges, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Durham, North Carolina.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1990. Matthew has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Henryneal Hodges's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2014 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 New Millennium Way, Durham, NC 27709February 24, 2012 - June 5, 2014
MORGAN STANLEY
January 11, 2012 - June 5, 2014
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
April 27, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 19, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 8, 1995 - April 25, 1997
GRIFFIN FINANCIAL SERVICES
April 19, 1994 - April 3, 1995
FROST BROKERAGE SERVICES, INC.
February 25, 1992 - March 31, 1994
SWBC INVESTMENT COMPANY
September 4, 1990 - January 31, 1991
CIBC WORLD MARKETS CORP.
July 31, 1990 - August 8, 1990
F.N. WOLF & CO., INC.
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
FINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Durham, NC 27709TRUST BUT VERIFY
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