James J. Hosch
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.
James John Hosch, who also goes by James J Hosch, Jim Hosch, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2013 - January 28, 2014
FRONTIER INVESTMENT MANAGEMENT CO
March 9, 2009 - September 2, 2010
FIRST SOUTHWEST COMPANY, LLC
December 7, 2004 - November 26, 2007
BOK FINANCIAL SECURITIES, INC.
December 7, 2004 - November 26, 2007
BOK FINANCIAL SECURITIES, INC.
February 11, 2004 - October 18, 2004
CREDO CAPITAL MANAGEMENT, L.L.C.
September 7, 2001 - December 19, 2003
CITIGROUP GLOBAL MARKETS INC.
September 7, 2001 - December 19, 2003
CITIGROUP GLOBAL MARKETS INC.
August 27, 1998 - October 22, 2001
MORGAN STANLEY DW INC.
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
FRONTIER INVESTMENT MANAGEMENT CO
CRD#: 110430 / SEC#: 801-36925
Contact information
Red Flags
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