Sebastian M. Hoppe
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.
Sebastian Michael Hoppe was a registered financial professional .
Sebastian is a previously registered financial professional and started their career in finance in 1983. Sebastian had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2024 - July 31, 2025
LPL FINANCIAL LLC
December 2, 2020 - April 12, 2024
TABULA RASA CAPITAL
April 3, 2019 - October 11, 2019
SIERRA INVESTMENT MANAGEMENT, LLC
January 16, 2019 - October 7, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
September 12, 2017 - November 6, 2018
VALLEY FINANCIAL MANAGEMENT, INC.
September 12, 2017 - November 6, 2018
VALLEY FINANCIAL MANAGEMENT, INC.
February 10, 2017 - May 1, 2017
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC
January 30, 2017 - May 3, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
June 3, 2013 - July 1, 2016
MORGAN STANLEY
May 6, 2013 - July 1, 2016
MORGAN STANLEY
March 1, 2012 - November 19, 2012
B. RILEY & CO., LLC
December 9, 2011 - February 13, 2012
TEJAS SECURITIES GROUP, INC.
March 9, 2011 - November 8, 2011
B. RILEY SECURITIES, INC.
November 24, 2009 - February 17, 2011
CHAPDELAINE TULLETT PREBON, LLC
January 23, 2003 - March 11, 2008
CP INVESTMENTS, LLC
September 14, 1998 - July 19, 2001
JEFFERIES LLC
April 29, 1997 - August 22, 1997
STROME SECURITIES, L.P.
August 19, 1994 - January 27, 1997
STROME SECURITIES, L.P.
June 6, 1991 - April 8, 1994
DABNEY/RESNICK/IMPERIAL, LLC
May 7, 1990 - June 18, 1991
CP INVESTMENTS, LLC
October 19, 1983 - May 3, 1984
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
