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Gregory Ford Hodges

CRD# 4525831·Registered 2002 - 2016
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory Ford Hodges was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 2002 - 2016. Gregory had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 30 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

TRANSCEND CAPITAL·CRD# 104483
BD
Austin, TX
February 11, 2011 - March 22, 2016
VANTAGE CAPITAL MANAGEMENT, LLC·CRD# 116499
RIA
Dallas, TX
April 11, 2002 - December 31, 2006

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Current Firm

TC
TRANSCEND CAPITAL

PROTRADER.COM, LP | TRANSCEND CAPITAL, LP | TRANSCEND CAPITAL, LLC | TRANSCEND CAPITAL

CRD#: 104483 / SEC#: 8-52946
BD
Terminated by SEC on 09/30/2016

Contact Information

Established

Texas since 04/13/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
TRANSCEND CAPITAL MANAGEMENT, LLCMANAGING MEMBER—
DENIO, MICHAEL EDWINPRESIDENT / CCO4167298
GOODIN, DIANE MARIEFINOP / CFO3117840
JONES, VERNON HUGH JR.CEO4316356
SWEARINGEN, BRADLEY JACOBCHIEF TECHNICAL OFFICER/CHIEF INFORMATION OFFICER4633976

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2011About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2001About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2016About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 2011About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Feb 2011About the Series 7 exam

Series 30 — NFA Branch Manager Examination

Passed Mar 2012About the Series 30 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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GH
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