Lewis H. Hodge

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CRD#: 247362

Professional summary

Lewis Henry Hodge was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lewis is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Lewis had worked at 12 firms, which includes INVESTMENT COUNSELING INC., GEEK SECURITIES INC., ROUND HILL SECURITIES INC., NATIONAL SECURITIES CORPORATION, LASALLE ST SECURITIES L.L.C., BRENNER SECURITIES CORPORATION, RODMAN & RENSHAW INC., PERSHING LLC, TUCKER ANTHONY INCORPORATED, LEHMAN BROTHERS INC., CITIGROUP GLOBAL MARKETS INC., L. F. ROTHSCHILD & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

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

August 1, 2002 - October 28, 2002

INVESTMENT COUNSELING, INC.

CRD#: 44230

FT LAUDERDALE, FL

Past

April 29, 1999 - July 9, 2002

GEEK SECURITIES, INC.

CRD#: 14834

BOCA RATON, FL

Past

October 14, 1997 - July 13, 1998

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

October 7, 1996 - April 11, 1997

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

December 7, 1995 - October 8, 1996

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

November 27, 1995 - February 21, 1996

BRENNER SECURITIES CORPORATION

CRD#: 26973

Past

May 9, 1994 - September 14, 1995

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

April 25, 1994 - June 2, 1994

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

June 26, 1992 - April 7, 1994

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 28, 1987 - July 22, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 6, 1984 - April 24, 1987

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

March 4, 1968 - March 8, 1984

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

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

Series 63

Date: 1/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/1/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 1

Date: 2/26/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 9/3/1999

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/17/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/19/1994

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 3/13/1978

Registered Principal Examination

Current Firm

INVESTMENT COUNSELING, INC.

CRD#: 44230 / SEC#: , 8-50578

Terminated by SEC on 06/27/2003

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Contact information

Main Address

Mailing Address

Phone number

Established

New Jersey since 08/10/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ARIGATO INVESTMENTS INTERNATIONAL, INC.	SHAREHOLDER
BUSH, RICHARD ALBERT	PRESIDENT, GSP, CHIEF COMPLIANCE OFFICER	2457963
FISCHER, KAREN ZILLIA	FINANCIAL AND OPERATIONS PRINCIPAL	1708090
SICHI, NICHOLAS MEDORE	GSP	1702409

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Lewis H. Hodge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GEEK SECURITIES, INC.

ROUND HILL SECURITIES, INC.

NATIONAL SECURITIES CORPORATION

LASALLE ST SECURITIES, L.L.C.

BRENNER SECURITIES CORPORATION

RODMAN & RENSHAW INC.

PERSHING LLC

TUCKER ANTHONY INCORPORATED

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

L. F. ROTHSCHILD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1983

Series 3

Date: 5/1/1990

Series 1

Date: 2/26/1968

Series 27

Date: 9/3/1999

Series 24

Date: 5/17/1999

Series 53

Date: 8/19/1994

Series 40

Date: 3/13/1978

Current Firm

INVESTMENT COUNSELING, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT COUNSELING, INC.

TRUST BUT VERIFY

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