Brent E. Hippert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brent Eugene Hippert was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1982. Brent had worked at 31 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 44, Series 55, Series 15, Series 3, Series 5, Series 7, Series 9, Series 10, Series 14, Series 27, Series 4, Series 53, Series 28, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2024 - January 29, 2025
WINLO MANAGEMENT GROUP, LLC
June 1, 2018 - January 31, 2025
NETREX CAPITAL MARKETS, LLC
July 6, 2017 - May 16, 2018
OLDEN LANE SECURITIES, LLC
May 8, 2017 - April 12, 2019
CARTA SECURITIES, LLC
October 12, 2015 - January 29, 2025
STONECREST CAPITAL MARKETS, INC.
May 8, 2015 - July 25, 2015
STONECREST CAPITAL MARKETS, INC.
November 21, 2014 - February 25, 2015
HIGH POINT CAPITAL GROUP, INC.
March 26, 2014 - April 4, 2016
CNBS
January 4, 2013 - May 31, 2022
ENERECAP PARTNERS, LLC
February 8, 2012 - April 26, 2013
H.C.WAINWRIGHT & CO., LLC
December 7, 2011 - August 18, 2014
HIGHLAND FINANCIAL, LTD.
April 15, 2011 - June 1, 2023
HORANG SECURITIES, LLC
December 4, 2009 - February 23, 2015
VCAP SECURITIES, LLC
January 2, 2008 - February 23, 2015
SINCLAIR & COMPANY, LLC
December 21, 2007 - June 24, 2008
THE RIDERWOOD GROUP INCORPORATED
October 19, 2006 - December 14, 2009
LUCIA SECURITIES, LLC
February 2, 2006 - April 18, 2007
FIDUCIAL INVESTMENT ADVISORS, INC.
January 31, 2006 - February 1, 2006
LUCIA SECURITIES, LLC
October 7, 2003 - February 1, 2022
HARDCASTLE TRADING USA L.L.C.
February 6, 2003 - May 17, 2022
ASHTON STEWART & CO., INC.
June 20, 2002 - October 25, 2013
CHANNEL CAPITAL GROUP LLC
May 23, 2002 - April 22, 2003
H.C.WAINWRIGHT & CO., LLC
March 15, 2002 - October 13, 2022
UHY CAPITAL GROUP, LLC
January 11, 2002 - November 17, 2003
PORT FINANCIAL LLC
July 18, 2001 - September 5, 2001
EXCHANGE CONNECTIVITY, INC.
April 20, 2001 - August 8, 2001
PRIVATETRADE.COM, INC.
January 21, 1999 - August 2, 2000
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
December 1, 1997 - February 26, 1998
NEOVEST TRADING
May 5, 1995 - December 20, 1996
BUCKHEAD FINANCIAL CORPORATION
November 16, 1993 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
August 11, 1987 - December 15, 1993
UBS FINANCIAL SERVICES INC.
February 27, 1986 - September 11, 1987
MOSELEY SECURITIES CORPORATION
December 17, 1984 - March 3, 1986
J.P. MORGAN SECURITIES LLC
October 20, 1982 - December 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 44
Date: 9/1/2006
PCX Market Maker ExamSeries 55
Date: 11/9/1999
Limited Representative-Equity Trader ExamSeries 15
Date: 3/23/1993
Foreign Currency Options ExaminationSeries 5
Date: 12/15/1982
Interest Rate Options ExaminationSeries 28
Date: 5/5/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 10/23/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WINLO MANAGEMENT GROUP, LLC
CRD#: 288383 / SEC#: , 8-69940
Contact information
FINRA licenses (8 States and Territories)
Red Flags
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