Jason G. Hovde
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.
Jason Guy Hovde, who also goes by Jason G Hovde, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 31, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2019 - October 17, 2019
CUNA BROKERAGE SERVICES, INC.
May 28, 2019 - October 17, 2019
CUNA BROKERAGE SERVICES, INC.
March 22, 2018 - April 5, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 22, 2018 - April 5, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 28, 2018 - March 29, 2018
EQUITABLE ADVISORS, LLC
January 9, 2018 - March 29, 2018
EQUITABLE ADVISORS, LLC
August 29, 2007 - September 25, 2013
LPL FINANCIAL LLC
August 28, 2007 - September 25, 2013
LPL FINANCIAL LLC
January 23, 2004 - August 28, 2007
VSR FINANCIAL SERVICES, INC.
January 23, 2004 - August 28, 2007
VSR FINANCIAL SERVICES, INC.
May 20, 2002 - February 10, 2004
CETERA ADVISORS LLC
May 20, 2002 - February 10, 2004
CETERA ADVISORS LLC
April 16, 2001 - January 11, 2002
AFD, INC.
July 30, 1999 - April 13, 2001
CETERA ADVISORS LLC
March 29, 1999 - July 14, 1999
SECURITIES AMERICA, INC.
April 15, 1998 - February 9, 1999
CETERA ADVISORS LLC
October 14, 1997 - March 30, 1998
AFS BROKERAGE, INC.
March 17, 1997 - September 26, 1997
CHARLES SCHWAB & CO., INC.
January 30, 1997 - April 3, 1997
CETERA ADVISORS LLC
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
