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JH

Joseph P. Hodgkins

Some features on this profile are disabled
CRD#: 2084118
JH

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.

Joseph Peter Hodgkins, who also goes by Joe Peter Hodgkins, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Peter Hodgkins

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.
INDEPENDENT INSURANCE AGENT; NOT INVESTMENT-RELATED; STARTED 02/2024; APPROXIMATELY 1 HOUR PER MONTH, 1 HOUR DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 10, 2024 - October 2, 2025

GRIMES & COMPANY

RIA
CRD#: 109420
WESTBOROUGH, MA
Past

July 6, 2021 - November 29, 2023

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

RIA
CRD#: 105390
PHILADELPHIA, PA
Past

May 3, 2021 - November 29, 2023

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

March 15, 2006 - April 21, 2021

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

March 15, 2006 - August 31, 2021

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

March 21, 2005 - March 2, 2006

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

March 1, 1995 - June 16, 2004

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

August 7, 1991 - March 1, 1995

COLONIAL INVESTMENT SERVICES

BD
CRD#: 25929

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
G&
GRIMES & COMPANY
GRIMES & CO INC | GRIMES & COMPANY, LLC | GRIMES & COMPANY, INC. | GRIMES & COMPANY WEALTH MANAGEMENT, LLC | GRIMES & COMPANY

CRD#: 109420 / SEC#: 801-57193

RIA
Registered Investment Advisory firm - (1/28/2000 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/6/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/25/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

G&
GRIMES & COMPANY
GRIMES & CO INC | GRIMES & COMPANY, LLC | GRIMES & COMPANY, INC. | GRIMES & COMPANY WEALTH MANAGEMENT, LLC | GRIMES & COMPANY

CRD#: 109420 / SEC#: 801-57193

RIA
Registered Investment Advisory firm - (1/28/2000 Approved)
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Contact information

Main Address
One Technology Drive Suite 100, Westborough, MA 01581
Mailing Address
Phone number
(508) 366-3883
Established
Firm type
Fiscal year end
# of Employees
53

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GRIMES & COMPANY WEALTH MANAGEMENT, LLC (11/3/2025)

Regulatory assets under management

Total Number of Accounts9,415
AUM (Assets Under Management)$ 5,592,556,041

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

GRIMES & COMPANY

CRD#: 109420

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