Douglas J. Hopwood
Professional summary
Douglas John Hopwood was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Douglas had worked at 6 firms, which includes WRP INVESTMENTS INC., COVATO/LIPSITZ INC., PROSPERA FINANCIAL SERVICES INC., AMERIPRISE ADVISOR SERVICES INC., MORGAN STANLEY DW INC., PARKER/HUNTER INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 1997 - May 6, 1998
WRP INVESTMENTS, INC.
January 8, 1997 - March 14, 1997
COVATO/LIPSITZ, INC.
June 23, 1992 - October 17, 1996
PROSPERA FINANCIAL SERVICES, INC.
April 14, 1992 - May 4, 1992
AMERIPRISE ADVISOR SERVICES, INC.
October 16, 1991 - April 8, 1992
PROSPERA FINANCIAL SERVICES, INC.
October 12, 1987 - February 17, 1990
MORGAN STANLEY DW INC.
August 24, 1982 - October 20, 1987
PARKER/HUNTER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/22/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WRP INVESTMENTS, INC.
CRD#: 7365 / SEC#: 801-39365, 8-21374
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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