James P. Hobday
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.
James Patrick Hobday, who also goes by Jim Hobday, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, PC, Series 7, Series 1, Series 53, Series 4, Series 24, Series 8, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2007 - April 6, 2017
TD AMERITRADE, INC.
August 1, 2007 - April 6, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 1, 2007 - April 6, 2017
TD AMERITRADE, INC.
May 15, 2007 - July 19, 2007
CITIGROUP GLOBAL MARKETS INC.
April 3, 2007 - May 21, 2007
CITICORP INVESTMENT SERVICES
April 3, 2007 - May 21, 2007
CITICORP INVESTMENT SERVICES
March 30, 2006 - September 5, 2006
AFFINITY INVESTMENT SERVICES, LLC
August 8, 2001 - September 5, 2006
AFFINITY INVESTMENT SERVICES, LLC
August 6, 2001 - September 9, 2002
SECU BROKERAGE SERVICES
August 31, 1999 - August 8, 2001
BULL & BEAR SECURITIES, INC.
August 16, 1996 - February 23, 1999
CITICORP INVESTMENT SERVICES
February 6, 1996 - August 1, 1996
SAMUEL A. RAMIREZ & COMPANY, INC.
June 19, 1992 - February 10, 1995
FIDELITY BROKERAGE SERVICES LLC
February 2, 1991 - May 26, 1992
UBS FINANCIAL SERVICES INC.
January 9, 1984 - February 21, 1991
LEHMAN BROTHERS INC.
August 10, 1976 - December 15, 1978
GARY GOLDBERG & CO., INC.
October 21, 1975 - September 20, 1976
WADDELL & REED
July 3, 1975 - May 30, 1976
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 3, 1975 - May 30, 1976
SIGNATOR INVESTORS, INC.
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
Series 15
Date: 10/14/1988
Foreign Currency Options ExaminationSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationPC
Date: 11/1/1978
AMEX Put and Call ExamSeries 1
Date: 6/30/1975
Registered Representative ExaminationSeries 8
Date: 3/22/1984
General Securities Sales Supervisor Examination (Options Module & General Module)F04
Date: 1/20/1977
Financial Principal ExaminationSeries 40
Date: 1/17/1977
Registered Principal ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
