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Matthew Henryneal Hodges

National Financial Services LLC

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About Matthew Henryneal Hodges

Matthew Hodges is a financial professional with over 28 years of experience in the financial services industry. Currently, Matthew is registered with National Financial Services LLC, a broker-dealer, where he has been employed since July 2014. Previously, Matthew was associated with Morgan Stanley, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Griffin Financial Services, Frost Brokerage Services, Inc., SWBC Investment Company, Oppenheimer & Co., Inc. and F.N. Wolf & Co., Inc. Matthew holds Series 7, Series 9, Series 10, Series 63, Series 65, and SIE licenses.

Firm Information

Matthew Hodges is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Matthew Hodges’s Registration & Firm History

NC

07/11/2014 - Present

National Financial Services LLC (DURHAM NC)

NC

01/11/2012 - 06/05/2014

MORGAN STANLEY (RALEIGH NC)

NY

06/01/2009 - 10/01/2009

MORGAN STANLEY SMITH BARNEY (PURCHASE NY)

NY

09/19/1997 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NA

07/08/1995 - 04/25/1997

GRIFFIN FINANCIAL SERVICES

TX

04/19/1994 - 04/03/1995

FROST BROKERAGE SERVICES, INC. (SAN ANTONIO TX)

NA

02/25/1992 - 03/31/1994

SWBC INVESTMENT COMPANY

NY

09/04/1990 - 01/31/1991

OPPENHEIMER & CO., INC. (NEW YORK NY)

NA

07/31/1990 - 08/08/1990

F.N. WOLF & CO., INC.

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Licenses & Designations

BOTH

Issued 02/23/2012

Series 66 - Uniform Combined State Law Examination

IA

Issued 03/23/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/21/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/13/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/26/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/10/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Matthew Henryneal Hodges.
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