James C. Hock

NATIXIS ADVISORS

Indianapolis, IN

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CRD#: 4618451

Professional summary

James Corey Hock, who also goes by James Hock, is a registered financial advisor currently at NATIXIS ADVISORS, LLC located in Indianapolis, Indiana and NATIXIS DISTRIBUTION, LLC located in Boston, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Hock

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) - RIA

Click below to view James Corey Hock'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

July 29, 2005 - Present

NATIXIS ADVISORS, LLC

RIA

CRD#: 106800

Indianapolis, IN

Current

July 26, 2005 - Present

NATIXIS DISTRIBUTION, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197

CRD#: 34754

Boston, MA

Past

April 17, 2003 - July 29, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

THE WOODLANDS, TX

Past

February 20, 2003 - July 29, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NATIXIS ADVISORS, LLC

CRD#: 106800 / SEC#: 801-48408

RIA

Registered Investment Advisory firm - (3/1/1995 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Indiana
(7/12/2012)

Kentucky
(2/19/2020)

IAR

Massachusetts
(7/29/2005)

Ohio
(1/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/14/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NATIXIS ADVISORS, LLC

CRD#: 106800 / SEC#: 801-48408

RIA

Registered Investment Advisory firm - (3/1/1995 Approved)

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Contact information

Main Address

888 Boylston Street Suite 800, Boston, MA 02199

Mailing Address

Phone number

(617) 449-2802

Established

Firm type

Fiscal year end

# of Employees

426

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NATIXIS ADVISORS, LLC FORM ADV - PART 2A (10/30/2025)

Regulatory assets under management

Total Number of Accounts	85,258
AUM (Assets Under Management)	$ 85,230,726,459

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.

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James C. Hock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Corey Hock's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIXIS DISTRIBUTION, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NATIXIS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2003

SIE

Date: 10/1/2018

Series 7

Date: 2/18/2003

FINRA

Current Firm

NATIXIS ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NATIXIS ADVISORS, LLC

TRUST BUT VERIFY

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