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James Shannon Hoerter

Federal Hill Capital Management

Bardstown, KY

CRD 5609621

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Employer firm

Federal Hill Capital Management CRD 151499

$55.6M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Federal Hill Capital Management

129 N. Third St, Bardstown, KY 40004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-05-15
KY RA APPROVED 2012-08-06
  • TX RA
    APPROVED_RES
    Since 2018-05-15
  • KY RA
    APPROVED
    Since 2012-08-06

Branch Locations

129 N. Third St, Bardstown, KY 40004 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Federal Hill Capital Management Bardstown KY 08/2012 Present
Federal Hill Capital Management Bardstown KY 08/2012 Present
Previous Registrations
  • 2009-01-14 → 2012-08-07
    Coxs Creek, KY
    Bardstown, KY
    St Louis, MO
Other Businesses

- January 2018-Present 10% Owner of Federal Hill Holdings, LLC. It is a real estate holding company located in Bardstown, KY - no time devoted. - July 2017-Present 10% Owner of Federal Hill Capital Management, LLC. It is an Investment Advisory Firm located in Bardstown, KY - Compliance Officer and Investment Advisor - 40 hours per devoted. This business is Investment Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-02
  • S66 Uniform Combined State Law Examination
    2009-01-02
Other Names
  • James Hoerter

View on SEC IAPD

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