AH
Adam Hochberg
DEALMAKER SECURITIES
Toronto, M5V 2R2
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CRD#: 7522699
AH
Professional summary
Adam Hochberg is a registered financial professional currently at DEALMAKER SECURITIES .
Adam is registered as a RR (Registered Representative) and started their career in finance in 2023. Adam has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Adam Hochberg'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
March 20, 2023 - Present
DEALMAKER SECURITIES
Office #1: 141 Bathurst Street, Toronto, M5V 2R2BD
CRD#: 315324
Toronto,
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
South Dakota(3/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DEALMAKER SECURITIES
DEALMAKER SECURITIES | DEALMAKER SECURITIES LLC
CRD#: 315324 / SEC#: , 8-70756
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
30 East 23rd Street 2nd Floor, New York, NY 10010
Mailing Address
30 East 23rd Street 2nd Floor, New York, NY 10010
Phone number
(855) 852-4561
Established
Delaware since 05/05/2021
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Red Flags
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