James A. Hodson
Professional summary
James Andrew Hodson JR, who also goes by Jim Hodson, is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Hodson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2006 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207June 5, 2002 - April 19, 2006
GLEACHER & COMPANY SECURITIES, INC.
March 30, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
March 30, 2001 - May 28, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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