David A. Hodges
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.
David Armstrong Hodges, who also goes by Dave Hodges, David A Hodges Jr, David A Hodges, David Armstrong Hodges Jr, David Hodges Jr, David Hodges, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2007 - April 13, 2018
BARROW HANLEY GLOBAL INVESTORS
Primary Firm SEC Registration
BARROW HANLEY GLOBAL INVESTORS
CRD#: 105519 / SEC#: 801-31237
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
Current Firm
BARROW HANLEY GLOBAL INVESTORS
CRD#: 105519 / SEC#: 801-31237
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 276 |
| AUM (Assets Under Management) | $ 53,255,290,889 |
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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