Michael S. 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.
Michael Scott Hodges, who also goes by Michael Scott Hodges, Michael Hodges, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2011. Michael had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2023 - August 17, 2023
CAROLINA FINANCIAL SECURITIES, LLC
November 19, 2020 - March 30, 2023
WELLS FARGO SECURITIES, LLC
July 23, 2018 - December 21, 2018
SP SECURITIES LLC
June 13, 2011 - August 27, 2018
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAROLINA FINANCIAL SECURITIES, LLC
CRD#: 41970 / SEC#: , 8-49653
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
