James Robert Hobson

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Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2020-08-25

NC RA
APPROVED

Since 2020-08-25

Branch Locations

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Jacksonville	FL	02/2007	04/2017
Scottrade, Inc.	Baltimore	MD	05/2017	03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hunt Valley	MD	03/2018	01/2020
Bank Of America, Na	Hunt Valley	MD	03/2018	01/2020
Capfinancial Securities Llc	Raleigh	NC	05/2020	Present
Capfinancial Partners Llc (Captrust)	Raleigh	NC	05/2020	Present
Unemployed	Raleigh	NC	02/2020	04/2020

02/2007 → 04/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL
05/2017 → 03/2018

Scottrade, Inc.

Baltimore, MD
03/2018 → 01/2020

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD
03/2018 → 01/2020

Bank Of America, Na

Hunt Valley, MD
05/2020 → Present

Capfinancial Securities Llc

Raleigh, NC
05/2020 → Present

Capfinancial Partners Llc (Captrust)

Raleigh, NC
02/2020 → 04/2020

Unemployed

Raleigh, NC

Previous Registrations

2018-03-29 → 2020-01-23

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

Raleigh, NC

Cary, NC

Knightdale, NC
2017-05-08 → 2018-03-07

Scottrade Investment Management

Saint Louis, MO
2010-05-24 → 2017-04-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL

Jacksonville, FL

New York, NY

Chapel Hill, NC

New York, NY

Jacksonville, FL

Jacksonville, FL

Jacksonville, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-05-19

S66 Uniform Combined State Law Examination

2010-05-19

Other Names

James Hobson
James R Hobson
James Robert Hobson

View on SEC IAPD

Other Firms

TOWNSEND ASSET MANAGEMENT CORP.

FORTRESS PRIVATE LEDGER, LLC

OLDE RALEIGH FINANCIAL GROUP

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

ADVISORY SERVICES NETWORK

WELLS FARGO CLEARING SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

JAMES MICHAEL TARKENTON

CALEB ROBERT GRIFFITH

William Dean Cotton

Earl Scott Butcher

DAVID JEFFREY HERMAN

JAY DAVID MCKINNEY

BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC

FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC

OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC

ADVISORY SERVICES NETWORK · RALEIGH, NC

FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC

WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC

EDWARD JONES · RALEIGH, NC

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