Herbert E. Hupp
Professional summary
Herbert Edward Hupp JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Herbert is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Herbert had worked at 7 firms, which includes SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., STIFEL NICOLAUS & COMPANY INCORPORATED, J.J.B. HILLIARD W.L. LYONS LLC, ROBERT W. BAIRD & CO. INCORPORATED, RAFFENSPERGER HUGHES & CO. INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2006 - December 31, 2006
SUMMIT FINANCIAL GROUP INC
February 27, 2006 - December 31, 2006
SUMMIT BROKERAGE SERVICES, INC.
May 3, 2000 - March 2, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 7, 1999 - March 2, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 26, 1996 - May 12, 2000
J.J.B. HILLIARD, W.L. LYONS, LLC
April 12, 1993 - May 13, 1996
ROBERT W. BAIRD & CO. INCORPORATED
December 16, 1988 - April 20, 1993
RAFFENSPERGER, HUGHES & CO., INC.
January 19, 1983 - October 24, 1988
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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