BH
Brant J. Hocke
ATB CAPITAL MARKETS USA
Denver, CO 80206
Some features on this profile are disabled
CRD#: 5392971
BH
Professional summary
Brant Josef Hocke is a registered financial professional currently at ATB CAPITAL MARKETS USA INC. located in Denver, Colorado.
Brant is registered as a RR (Registered Representative) and started their career in finance in 2008. Brant has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Brant Josef Hocke's 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®
NoneExperience
Current
December 5, 2019 - Present
ATB CAPITAL MARKETS USA INC.
Office #1: 100 Filmore Street, Suite 551, Denver, CO 80206RIA
BD
CRD#: 155053
Denver, CO
Past
May 27, 2015 - January 2, 2018
COKER & PALMER
BD
CRD#: 29163
New Orleans, LA
Past
February 27, 2013 - May 27, 2015
IBERIA CAPITAL PARTNERS L.L.C.
BD
CRD#: 152766
NEW ORLEANS, LA
Past
August 12, 2008 - February 19, 2013
JOHNSON RICE & COMPANY L.L.C.
BD
CRD#: 19524
NEW ORLEANS, LA
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".
AC
ATB CAPITAL MARKETS USA INC.
ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.
CRD#: 155053 / SEC#: 801-128511, 8-68692
RIA
Registered Investment Advisory firm - SEC (1/12/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/4/2021)
RR
Alaska(8/11/2021)
RR
Arizona(9/8/2021)
RR
Arkansas(8/10/2021)
RR
California(12/5/2019)
RR
Colorado(1/2/2020)
RR
Connecticut(12/9/2019)
RR
Delaware(8/6/2021)
RR
District of Columbia(8/4/2021)
RR
Florida(1/20/2021)
RR
Georgia(12/6/2019)
RR
Idaho(8/4/2021)
RR
Illinois(1/7/2020)
RR
Indiana(8/6/2021)
RR
Iowa(1/22/2021)
RR
Kansas(8/5/2021)
RR
Kentucky(8/5/2021)
RR
Louisiana(12/6/2019)
RR
Maine(8/5/2021)
RR
Maryland(12/6/2019)
RR
Massachusetts(1/2/2020)
RR
Michigan(8/8/2021)
RR
Minnesota(12/11/2019)
RR
Mississippi(8/4/2021)
RR
Missouri(8/5/2021)
RR
Montana(8/5/2021)
RR
Nebraska(8/5/2021)
RR
Nevada(8/11/2021)
RR
New Jersey(12/10/2019)
RR
New Mexico(8/5/2021)
RR
New York(1/3/2020)
RR
North Carolina(8/5/2021)
RR
Ohio(4/1/2021)
RR
Oklahoma(8/10/2021)
RR
Pennsylvania(12/6/2019)
RR
Puerto Rico(5/20/2021)
RR
Rhode Island(8/5/2021)
RR
South Carolina(8/5/2021)
RR
Texas(12/6/2019)
RR
Utah(12/19/2019)
RR
Virgin Islands(8/6/2021)
RR
Virginia(8/5/2021)
RR
Washington(12/11/2019)
RR
West Virginia(8/11/2021)
RR
Wisconsin(12/9/2019)
RR
Wyoming(1/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ATB CAPITAL MARKETS USA INC.
ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.
CRD#: 155053 / SEC#: 801-128511, 8-68692
RIA
Registered Investment Advisory firm - SEC (1/12/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
#410 585 8th Avenue Sw, Calgary, Alberta, T2P 1G1
Mailing Address
#410 585 8th Avenue Sw, Calgary, T2P 1G1
Phone number
(403) 593-8600
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
31
FINRA licenses (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
