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GH

Gail Robyn Hodes

CRD# 2555576·Registered 1994 - 2020
Previously Registered: Being a previously registered professional could mean that Gail 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.

Professional Summary

Gail Robyn Hodes was a registered financial advisor. Gail was a previously registered financial professional and started their career in finance 1994 - 2020. Gail had worked at 9 firms and has passed the SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

32 years in the financial services industry

Current & Past Employments

WILDERMUTH SECURITIES, LLC·CRD# 288416
BD
Ponte Vedra Beach, FL
December 3, 2019 - October 26, 2020
CNR SECURITIES, LLC·CRD# 18466
BD
New York, NY
June 28, 2018 - August 21, 2018
PALOMA SECURITIES L.L.C.·CRD# 24234
BD
Greenwich, CT
August 17, 2007 - October 2, 2008
DKR CAPITAL SECURITIES CORP.·CRD# 122245
BD
Stamford, CT
October 7, 2004 - September 20, 2005
SCHRODER FUND ADVISORS LLC·CRD# 24129
BD
New York, NY
March 15, 2004 - May 24, 2004
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
October 21, 2003 - January 30, 2004
DEAM INVESTOR SERVICES, INC.·CRD# 754
BD
New York, NY
June 17, 2003 - October 21, 2003
GE INVESTMENT DISTRIBUTORS, INC·CRD# 32087
BD
Stamford, CT
August 21, 1997 - September 4, 2001
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
El Segundo, CA
November 21, 1994 - September 8, 1995

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Current Firm

WS
WILDERMUTH SECURITIES, LLC

WILDERMUTH SECURITIES, LLC

CRD#: 288416 / SEC#: 8-69943
BD
Terminated by SEC on 11/07/2022

Contact Information

Established

Delaware since 02/27/2017

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
THE WILDERMUTH FAMILY GIFT TRUST IOWNER—
WILDERMUTH, CAROL JEANTRUSTEE OF WILDERMUTH FAMILY GIFT TRUST I1555730
WILDERMUTH, CAROL JEANCFO, PRESIDENT, CCO1555730

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Aug 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1994About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2004About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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