Individual Firm
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Virginia Ann Hodge
ANN HODGE, VIRGINIA ANN HODGE, VIRGINIA ANN HODGE
CRD#: 1776344
IA
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KESTRA ADVISORY SERVICES, LLCCRD#: 283330 Franklin, TN
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 Franklin, TN
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3/7/2006
Employment Separation After Allegations
State Registrations
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Tennessee 7/19/2024
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Texas 7/19/2024
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Tennessee 7/22/2024
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Texas 7/19/2024
SRO Registrations
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IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/27/2023 - 04/16/2024 | Franklin, TN | |
B | 03/27/2023 - 04/16/2024 | ST. LOUIS, MO | |
IA | 07/13/2022 - 11/18/2022 | New York, NY | |
B | 07/13/2022 - 11/18/2022 | NEW YORK, NY | |
IA | 05/07/2020 - 04/13/2022 | FRANKLIN, TN | |
B | 03/02/2020 - 04/13/2022 | FRANKLIN, TN | |
B | 04/10/2006 - 02/05/2015 | FORT MILL, SC | |
IA | 01/11/2005 - 03/20/2006 | NASHVILLE, TN | |
B | 07/03/2003 - 03/20/2006 | NASHVILLE, TN | |
B | 06/18/2002 - 06/16/2003 | PURCHASE, NY | |
B | 10/02/2001 - 05/02/2002 | HARTFORD, CT | |
B | 11/04/1997 - 09/21/2001 | FORT MILL, SC | |
B | 08/05/1991 - 09/09/1997 | NEW YORK, NY | |
B | 03/21/1990 - 08/22/1990 | ATLANTA, GA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.