Norman F. Hodgins
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.
Norman Francis Hodgins JR, who also goes by Norman F Hodgins Jr, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1981. Norman had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2015 - December 31, 2023
AMERITAS INVESTMENT COMPANY, LLC
January 12, 2012 - June 19, 2013
HORNOR, TOWNSEND & KENT, LLC
June 5, 2009 - November 9, 2011
PARKLAND SECURITIES, LLC
June 14, 2007 - April 23, 2009
NYLIFE SECURITIES LLC
June 8, 2006 - May 22, 2007
SUNSET FINANCIAL SERVICES, INC.
June 29, 2005 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
September 30, 2004 - February 17, 2005
NEW ENGLAND SECURITIES
March 11, 2003 - February 17, 2005
NEW ENGLAND SECURITIES
March 18, 1993 - January 30, 2003
EQUITABLE ADVISORS, LLC
May 14, 1987 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 14, 1987 - January 30, 2003
EQUITABLE ADVISORS, LLC
January 15, 1986 - May 13, 1987
GUARDIAN INVESTOR SERVICES LLC
April 30, 1981 - November 27, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 30, 1981 - November 29, 1985
EQUITABLE ADVISORS, LLC
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
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
