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LH

Louise J. Hatcher

TJM INVESTMENTS
New York, NY 10005
Some features on this profile are disabled
CRD#: 4456708
LH

Professional summary

Louise Jane Hatcher, who also goes by Louise J. Hatcher, is a registered financial professional currently at TJM INVESTMENTS, LLC located in New York, New York.

Louise is registered as a RR (Registered Representative) and started their career in finance in 2001. Louise has worked at 7 firms and has passed the Series 63, SIE, Series 25 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Louise J. Hatcher

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 Louise Jane Hatcher's 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

June 6, 2019 - Present

TJM INVESTMENTS, LLC

Office #1: Nyse Trading Floor 11 Wall Street, New York, NY 10005
BD
CRD#: 46300
New York, NY
Past

March 2, 2010 - June 4, 2019

MERIDIAN EQUITY PARTNERS, INC.

BD
CRD#: 133849
NEW YORK, NY
Past

March 7, 2006 - March 4, 2010

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

August 6, 2004 - February 9, 2006

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

August 2, 2004 - February 17, 2006

BASELINE SECURITIES, INC.

BD
CRD#: 119257
NEW YORK, NY
Past

June 2, 2003 - July 20, 2004

NOVA CAPITAL MARKETS, LLC

BD
CRD#: 32694
WEST CONSHOHOCKEN, PA
Past

September 26, 2001 - June 3, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Connecticut
(1/2/2020)
RR
New York
(1/6/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 10/23/2014
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2002
General Securities Representative Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TI
TJM INVESTMENTS, LLC
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

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

Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606
Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606
Phone number
(312) 432-5100
Established
Illinois since 10/13/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TJM HOLDINGS, LLCHOLDING COMPANY
BEITLER, STEVE ALLENCHIEF EXECUTIVE OFFICER1893827
BURKE, JOHN TERRENCECHIEF OPERATING OFFICER2116593
DANG, STACY BINHCHIEF COMPLIANCE OFFICER3143275
MURPHY, THOMAS JAMESCO-MANAGER857354
RISINGER, COLLEEN SULLIVANFINOP CFO2812053
SKWERES, DENISE PAREJKOFINOP CFO5332253

Disclosures

Regulatory Event12

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

TJM INVESTMENTS, LLC

CRD#: 46300New York, NY 10005

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