Nicholas W. Hodge
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.
Nicholas Wayne Hodge, who also goes by Nicholas W Hodge, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2009. Nicholas had worked at 8 firms and has passed the Series 66, 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
January 2, 2015 - July 29, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2015 - July 29, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 5, 2014 - November 10, 2014
FIFTH THIRD SECURITIES, INC.
March 4, 2014 - November 10, 2014
FIFTH THIRD SECURITIES, INC.
October 10, 2013 - February 26, 2014
FIRST HORIZON ADVISORS, INC.
July 3, 2012 - October 10, 2013
FTB ADVISORS, INC.
July 3, 2012 - February 26, 2014
FIRST HORIZON ADVISORS, INC.
October 15, 2010 - February 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2010 - February 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 2010 - September 23, 2010
VALIC FINANCIAL ADVISORS, INC.
November 23, 2009 - September 23, 2010
VALIC FINANCIAL ADVISORS, INC.
March 17, 2009 - September 2, 2009
EDWARD JONES
January 23, 2009 - September 2, 2009
EDWARD JONES
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
