Hugh A. Hoadley
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.
Hugh Anthony Hoadley, who also goes by Hugh A Hoadley, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1969. Hugh had worked at 17 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1, Series 000 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
January 22, 2009 - December 31, 2012
CANTELLA & CO., INC.
January 14, 2009 - December 31, 2012
CANTELLA & CO., INC.
June 28, 2007 - January 22, 2009
WEDBUSH SECURITIES INC.
June 27, 2007 - January 22, 2009
WEDBUSH SECURITIES INC.
June 27, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
June 1, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
May 19, 2004 - May 31, 2006
GREENWICH GLOBAL, LLC
May 17, 2004 - June 27, 2006
SOUND FINANCIAL ADVISORS
November 30, 1998 - May 17, 2004
WESTPORT RESOURCES MANAGEMENT INC
November 18, 1998 - May 17, 2004
SMH CAPITAL INVESTMENTS LLC
June 4, 1996 - October 21, 1998
AUERBACH, POLLAK & RICHARDSON INC.
July 31, 1993 - April 25, 1996
CITIGROUP GLOBAL MARKETS INC.
January 4, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
May 26, 1989 - January 7, 1993
UBS FINANCIAL SERVICES INC.
June 16, 1986 - June 17, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 16, 1982 - June 27, 1986
KIDDER, PEABODY & CO. INCORPORATED
May 9, 1977 - September 3, 1982
MELHADO, FLYNN & ASSOCIATES, INC.
October 8, 1976 - June 14, 1977
REYNOLDS SECURITIES, INC.
March 29, 1976 - February 18, 1977
BAKER, WEEKS & CO., INC.
February 25, 1969 - May 12, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 10/18/1982
AMEX Put and Call ExamSeries 1
Date: 1/15/1969
Registered Representative ExaminationSeries 000
Date: 1/1/1969
General Securities Principal ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
