Samuel M. Hocking
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.
Samuel Mcmillan Hocking was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2001. Samuel had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2017 - August 1, 2017
ARTIVEST BROKERAGE LLC
November 13, 2013 - December 31, 2016
HOCKING CAPITAL, LLC
August 19, 2008 - May 25, 2012
BNP PARIBAS PRIME BROKERAGE, INC.
May 22, 2001 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
ARTIVEST BROKERAGE LLC
CRD#: 168218 / SEC#: , 8-69297
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
