Jeffrey B. Hodde
Professional summary
Jeffrey Booth Hodde was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Jeffrey had worked at 13 firms, which includes WINDSOR STREET CAPITAL LP, AXIOM CAPITAL MANAGEMENT INC., HIGHLANDER CAPITAL GROUP INC., FEELEY & WILLCOX SECURITIES CORP., FINANCIAL SQUARE PARTNERS, HAMBRECHT & QUIST LLC, CIBC WORLD MARKETS CORP., TUCKER ANTHONY INCORPORATED, BECKER PARIBAS INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WHITE WELD & CO. INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 1998 - June 4, 1999
WINDSOR STREET CAPITAL, LP
July 28, 1997 - April 9, 1998
AXIOM CAPITAL MANAGEMENT, INC.
May 3, 1991 - June 26, 1997
HIGHLANDER CAPITAL GROUP, INC.
September 17, 1990 - April 12, 1991
FEELEY & WILLCOX SECURITIES CORP.
February 21, 1989 - April 20, 1990
FINANCIAL SQUARE PARTNERS
December 17, 1987 - November 28, 1988
HAMBRECHT & QUIST LLC
November 28, 1983 - November 6, 1987
CIBC WORLD MARKETS CORP.
October 26, 1982 - November 15, 1983
TUCKER ANTHONY INCORPORATED
February 24, 1981 - November 4, 1982
BECKER PARIBAS INCORPORATED
September 26, 1978 - March 6, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 1978 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
May 6, 1977 - April 13, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 12, 1970 - March 3, 1977
KIDDER, PEABODY & CO., INCORPORATED
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: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 5/7/1970
Registered Representative ExaminationCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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