Frederick B. 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.
Frederick Benjamin Hodges JR, who also goes by Frederick Benjamin Hodges, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1968. Frederick had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1985 - June 12, 1985
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1983 - March 9, 1984
WADDELL & REED
March 23, 1982 - July 6, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
August 5, 1980 - February 17, 1982
OSAIC FS, INC.
April 4, 1979 - August 14, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
November 27, 1978 - February 22, 1979
E. F. HUTTON & COMPANY INC
September 18, 1974 - September 8, 1978
INTEGRATED RESOURCES EQUITY CORPORATION
November 6, 1972 - September 20, 1973
INDEPENDENT FINANCIAL PLANNERS CORPORATION
February 12, 1971 - December 13, 1972
INTERNATIONAL SECURITIES CORP.
October 2, 1968 - August 7, 1972
FINANCIAL SERVICE CORPORATION OF AMERICA
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 1
Date: 9/25/1968
Registered Representative ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
Red Flags
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