CAROLYN HODGES is currently employed as a Broker and/or Investment Adviser at BRIGHTHOUSE SECURITIES, LLC located at 11225 North Community House Rd, Charlotte, NC, 28277.
CAROLYN HODGES has worked at BRIGHTHOUSE SECURITIES, LLC since March 06, 2017
Disclosure History
CAROLYN HODGES has 1 Disclosure Event(s).
Date: November 15, 2006 Category: Criminal Charges: CHARGE 1-3806 NEGLECT CHILD-FELONY CHILD ABUSE Disposition: Reduced Amended Charges: REDUCED TO MISDEMEANOR RECKLESS ENDANGERMENT Amended Charge Type: MISDEMEANOR Amended Charge Amended Charge Disposition: PROBATION Broker Comment: I WAS CHARGED WITH RECKLESS ENDANGERMENT INVOVING THE SAFETY AND WELL BEING OF ANOTHER INDIVIDUAL. I HAVE MADE ALL MONETARY PAYMENTS AND THE PROBATION IS OVER. I HAVE MET ALL THE REQUIREMENTS REGARDING THE CHARGES, WHICH WAS RESTITUTION, TWO YEARS UNSUPERVISED PROBATION, AND NO EMPLOYMENT IN THE HEALTH CARE FIELD FOR THE DURATION OF MY PROBATION.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for CAROLYN HODGES, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.