Donald W. Hodges
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.
Donald Wayne Hodges, who also goes by Don Hodges, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 7 firms and has passed the Series 63, SIE, Series 55, PC, Series 1, Series 27, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2006 - February 9, 2015
FIRST DALLAS SECURITIES INCORPORATED
November 30, 1989 - February 9, 2015
HODGES CAPITAL MANAGEMENT INC
July 5, 1989 - February 5, 2015
FIRST DALLAS SECURITIES INCORPORATED
January 21, 1975 - December 16, 1989
RAUSCHER PIERCE REFSNES, INC.
July 11, 1972 - February 24, 1975
HILLTOP SECURITIES INC.
December 8, 1971 - August 18, 1972
LENTZ, NEWTON & CO.
January 18, 1971 - January 6, 1972
INSTITUTIONAL EQUITY CORPORATION
January 14, 1970 - February 28, 1971
LING & CO INC
Primary Firm SEC Registration
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
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
Series 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 9/8/1960
Registered Representative ExaminationSeries 40
Date: 12/18/1969
Registered Principal ExaminationCurrent Firm
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 266 |
| AUM (Assets Under Management) | $ 335,711,026 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
