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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Matthew Hodges is a financial advisor with over 40 years of experience in the industry. James has a broad range of experience, including serving as a registered representative with Robert W. Baird & Co. Inc. James has also worked at Legg Mason Wood Walker, Incorporated, Prudential-Bache Securities Inc., and Bache Halsey Stuart Inc. James is registered with the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the states of Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, South Carolina, Tennessee, Texas, Virginia, Washington, West Virginia, and Wisconsin. James holds several industry licenses including Series 4, Series 7, Series 9, Series 10, Series 12, Series 24, Series 53, and Series 63. James has specialized expertise in financial planning, pension consulting, and portfolio management for individuals, businesses, and investment companies. James is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
MD
05/22/2017 - Present
Robert W. Baird & Co. Inc. (Baltimore MD)
MD
02/21/2006 - 04/01/2009
CITIGROUP GLOBAL MARKETS INC. (TOWSON MD)
MD
03/30/1989 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (TOWSON MD)
NA
09/16/1977 - 04/07/1989
PRUDENTIAL-BACHE SECURITIES INC.
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
07/25/1975 - 02/27/1976
BACHE & CO., INCORPORATED
BC
Issued 07/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/14/2000
Series 24 - General Securities Principal Examination
BC
Issued 11/14/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/02/1989
Series 4 - Registered Options Principal Examination
BC
Issued 05/22/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1977
PC - AMEX Put and Call Exam
BC
Issued 07/19/1975
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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