Thomas E. Hoden
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.
Thomas Eugene Hoden, who also goes by Tom Hoden, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - October 4, 2016
BENJAMIN F. EDWARDS & COMPANY, INC.
January 4, 2016 - October 4, 2016
BENJAMIN F. EDWARDS & COMPANY, INC.
December 12, 2012 - December 31, 2015
REGAL ADVISORY SERVICES, INC.
December 4, 2012 - December 31, 2015
REGAL SECURITIES, INC.
January 1, 1999 - December 12, 2012
RBC CAPITAL MARKETS, LLC
March 2, 1998 - December 12, 2012
RBC CAPITAL MARKETS, LLC
October 4, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 25, 1989 - October 18, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 30, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
March 25, 1985 - July 15, 1987
HANIFEN, IMHOFF INC.
June 8, 1978 - March 21, 1985
E. F. HUTTON & COMPANY INC
July 28, 1977 - July 22, 1978
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
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 12
Date: 6/20/1981
NYSE Branch Manager ExaminationCurrent Firm
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
