Carey L. Hoch
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.
Carey Lee Hoch, who also goes by Carey Lee Foran, was a registered financial professional .
Carey is a previously registered financial professional and started their career in finance in 1996. Carey had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2013 - June 24, 2013
FIDELITY DISTRIBUTORS COMPANY LLC
December 3, 2010 - September 19, 2012
MANULIFE INVESTMENT MANAGEMENT (US) LLC
December 10, 2008 - September 18, 2012
JOHN HANCOCK DISTRIBUTORS LLC
December 7, 2005 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
November 15, 2005 - September 19, 2012
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 20, 2003 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
December 13, 2001 - July 25, 2008
JOHN HANCOCK DISTRIBUTORS LLC
February 7, 2000 - June 20, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 26, 1996 - December 21, 1999
KEYPORT FINANCIAL SERVICES CORP.
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
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
