JH
James S. Hoerter
FEDERAL HILL CAPITAL MANAGEMENT
Bardstown, KY 40004
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CRD#: 5609621
JH
Professional summary
James Shannon Hoerter, who also goes by James Hoerter, is a registered financial advisor currently at FEDERAL HILL CAPITAL MANAGEMENT located in Bardstown, Kentucky.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Hoerter
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.
- January 2018-Present 10% Owner of Federal Hill Holdings, LLC. It is a real estate holding company located in Bardstown, KY - no time devoted.
- July 2017-Present 10% Owner of Federal Hill Capital Management, LLC. It is an Investment Advisory Firm located in Bardstown, KY - Compliance Officer and Investment Advisor - 40 hours per devoted. This business is Investment Related.
CRS (Client Relationship Summary) - RIA
Click below to view James Shannon Hoerter'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
August 6, 2012 - Present
FEDERAL HILL CAPITAL MANAGEMENT
Office #1: 129 N. Third St, Bardstown, KY 40004RIA
CRD#: 151499
Bardstown, KY
Past
January 14, 2009 - August 7, 2012
EDWARD JONES
RIA
CRD#: 250
BARDSTOWN, KY
Past
December 12, 2008 - August 7, 2012
EDWARD JONES
BD
CRD#: 250
BARDSTOWN, KY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kentucky(8/6/2012)
IAR
Texas(5/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
FH
FEDERAL HILL CAPITAL MANAGEMENT
FEDERAL HILL CAPITAL MANAGEMENT | FEDERAL HILL CAPITAL MANAGEMENT, LLC
CRD#: 151499 / SEC#:
Indiana
Registered Investment Advisory firm - (4/26/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/28/2009 Approved)Texas
Registered Investment Advisory firm - (5/15/2018 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
129 N. Third St, Bardstown, KY 40004
Mailing Address
Phone number
(502) 348-5789
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 565 |
| AUM (Assets Under Management) | $ 48,011,347 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 5/14/2018 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FEDERAL HILL CAPITAL MANAGEMENT
CRD#: 151499Bardstown, KY 40004TRUST BUT VERIFY
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