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JH

James A. Hill

ATHENE SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 5472777
JH

Professional summary

James Alexander Hill, who also goes by James A Hill, James Hill, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

James is registered as a RR (Registered Representative) and started their career in finance in 2008. James has worked at 11 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James A Hill | James Hill

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) - BD

Click below to view James Alexander Hill'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

March 10, 2022 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

September 30, 2021 - March 1, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

August 4, 2020 - February 25, 2022

BUILD ASSET MANAGEMENT

RIA
CRD#: 298354
Pittsburg, PA
Past

May 23, 2017 - June 2, 2020

CHARTWELL INVESTMENT PARTNERS, LLC

RIA
CRD#: 170335
Pittsburgh, PA
Past

March 7, 2017 - June 2, 2020

CHARTWELL TSC SECURITIES CORP.

BD
CRD#: 172196
Pittsburgh, PA
Past

June 1, 2012 - November 17, 2016

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PITTSBURGH, PA
Past

June 1, 2012 - November 17, 2016

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

April 1, 2011 - May 9, 2012

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
PITTSBURGH, PA
Past

April 1, 2011 - May 9, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
PITTSBURGH, PA
Past

December 22, 2009 - March 31, 2011

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
PITTSBURGH, PA
Past

April 8, 2009 - December 14, 2009

OAKMONT CAPITAL MANAGEMENT, LLC

RIA
CRD#: 128939
OAKMONT, PA
Past

August 15, 2008 - February 24, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PITTSBURG, PA
Past

July 18, 2008 - February 24, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PITTSBURG, PA
Past

March 17, 2008 - May 2, 2008

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
PITTSBURGH, PA

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
Iowa
(3/10/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/14/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/23/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/15/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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.

Company Information

ATHENE SECURITIES, LLC

CRD#: 36867West Des Moines, IA 50266

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