James B. Hoskins
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.
James Brian Hoskins, who also goes by J Brian Hoskins, James Hoskins, Brian Hoskins, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 8 firms and has passed the Series 63, Series 65, Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2021 - March 29, 2022
THE LEADERS GROUP, INC.
February 28, 2012 - March 12, 2014
BIECHELE ROYCE ADVISORS, INC.
February 10, 2011 - February 17, 2012
THE HUNTINGTON INVESTMENT COMPANY
February 10, 2011 - February 17, 2012
THE HUNTINGTON INVESTMENT COMPANY
May 24, 2010 - February 22, 2011
TD AMERITRADE, INC.
May 24, 2010 - February 22, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 24, 2010 - February 22, 2011
TD AMERITRADE, INC.
December 21, 2009 - May 12, 2010
MML INVESTORS SERVICES, LLC
May 11, 2009 - May 12, 2010
MML INVESTORS SERVICES, LLC
April 12, 2006 - June 3, 2008
CAPITAL BROKERAGE CORPORATION
May 19, 2004 - March 20, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2004 - March 20, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 11/10/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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