Robert P. Hodgins

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CRD#: 4668858

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.

Robert Patrick Hodgins was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2003. Robert had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

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

Past

May 8, 2018 - December 7, 2018

SW FINANCIAL

CRD#: 145012

MELVILLE, NY

Past

May 17, 2017 - October 23, 2017

SW FINANCIAL

CRD#: 145012

MELVILLE, NY

Past

December 2, 2014 - October 5, 2015

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

June 19, 2012 - November 17, 2014

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

February 17, 2012 - June 20, 2012

BROOKSTONE SECURITIES, INC.

CRD#: 13366

MIAMI BEACH, FL

Past

August 18, 2011 - March 7, 2012

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

NEW YORK, NY

Past

December 22, 2010 - August 19, 2011

BROOKSTONE SECURITIES, INC.

CRD#: 13366

UNIONDALE, NY

Past

January 15, 2010 - February 18, 2010

EKN FINANCIAL SERVICES INC.

CRD#: 113525

WOODBURY, NY

Past

February 26, 2009 - October 19, 2009

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

January 3, 2006 - January 9, 2006

ADVANCED PLANNING SECURITIES, INC.

CRD#: 14382

SMITHTOWN, NY

Past

June 14, 2005 - September 23, 2005

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

May 24, 2005 - June 21, 2005

GRANITE ASSOCIATES, INC

CRD#: 46682

DELRAY BEACH, FL

Past

March 2, 2005 - May 27, 2005

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

February 3, 2005 - February 24, 2005

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

September 21, 2004 - December 17, 2004

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

June 8, 2004 - July 27, 2004

LH ROSS & COMPANY, INC.

CRD#: 37920

BOCA RATON, FL

Past

December 19, 2003 - April 19, 2004

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/11/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/25/2009

General Securities Representative Examination

Current Firm

SW FINANCIAL

SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

Postponed Effective by SEC on 05/16/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 06/11/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ANGIA HOLDINGS, LLC	75.1% OWNER

Disclosures

Regulatory Event	7
Arbitration	7

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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Advisor Monitoring

Firm Stability Insights

Robert P. Hodgins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SW FINANCIAL

NEWPORT COAST SECURITIES, INC.

WINDSOR STREET CAPITAL, LP

BROOKSTONE SECURITIES, INC.

ROCKWELL GLOBAL CAPITAL LLC

BROOKSTONE SECURITIES, INC.

EKN FINANCIAL SERVICES INC.

BROOKVILLE CAPITAL PARTNERS

ADVANCED PLANNING SECURITIES, INC.

JOSEPH STEVENS & CO., INC.

GRANITE ASSOCIATES, INC

BROOKVILLE CAPITAL PARTNERS

ANDREW GARRETT INC.

JOSEPH STEVENS & CO., INC.

LH ROSS & COMPANY, INC.

LADENBURG THALMANN & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/11/2009

SIE

Date: 10/1/2018

Series 7

Date: 2/25/2009

Current Firm

SW FINANCIAL

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SW FINANCIAL

TRUST BUT VERIFY

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