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LH

Lester J. Hochler

CAPE SECURITIES
Mcdonough, GA 30253
Some features on this profile are disabled
CRD#: 3209012
LH

Professional summary

Lester Joel Hochler is a registered financial professional currently at CAPE SECURITIES INC. located in Mcdonough, Georgia and AMERICAN GLOBAL WEALTH MANAGEMENT, INC. located in Mcdonough, Georgia.

Lester is registered as a RR (Registered Representative) and started their career in finance in 1999. Lester has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 14, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lester Joel Hochler's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 17, 2016 - Present

CAPE SECURITIES INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253
BD
CRD#: 7072
Mcdonough, GA
Current

December 5, 2019 - Present

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253Office #2: 348 Main Street East Setauket, New York, NY 11733
BD
CRD#: 7388
Mcdonough, GA
Past

January 21, 2021 - August 26, 2021

G.F. INVESTMENT SERVICES, LLC

BD
CRD#: 132939
MCDONOUGH, GA
Past

May 10, 2018 - December 31, 2019

D. BORAL CAPITAL

BD
CRD#: 103792
McDonough, GA
Past

July 23, 2004 - October 17, 2005

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 2, 2004 - June 11, 2004

GREENPOINT SECURITIES LLC

BD
CRD#: 127042
LAKE SUCCESS, NY
Past

September 8, 2003 - January 2, 2004

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

August 28, 2002 - March 17, 2003

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

November 20, 2000 - August 28, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 12, 1999 - April 20, 2001

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/13/2017)
RR
Georgia
(9/3/2019)
RR
Illinois
(11/6/2020)
RR
Indiana
(1/27/2022)
RR
Maine
(11/16/2020)
RR
Massachusetts
(11/16/2020)
RR
New Hampshire
(1/27/2022)
RR
New Jersey
(1/27/2022)
RR
North Dakota
(12/18/2020)
RR
Texas
(10/22/2020)
RR
Vermont
(6/17/2022)
RR
Virgin Islands
(6/22/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/12/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/25/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/29/1999
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AG
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
AMERICAN GLOBAL WEALTH MANAGEMENT, INC. | WISCONSIN DISCOUNT SECURITIES CORPORATION

CRD#: 7388 / SEC#: , 8-21584

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1600 Pennsylvania Ave., Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Ave., Mcdonough, GA 30253
Phone number
(770) 400-9862
Established
Wisconsin since 02/25/1977
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AMERICAN GLOBAL WEALTH SERVICES, INC.OWNER
CIANTRO, PHILIPFINOP2350685
FAULK, RACHELCHIEF COMPLIANCE OFFICER7712313
LYNCH, JOHN KEVINPRESIDENT1579665
WEBB, JAMES RANDALLCHIEF OPERATIONS OFFICER2089446
WEBB, JAMES RANDALLCHAIRMAN2089446
WEBB, JAMES RANDALLOWNER2089446

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.

Company Information

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

CRD#: 7388Mcdonough, GA 30253

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