Stacie A. Hopkins
Professional summary
Stacie Anne Hopkins was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stacie is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Stacie had worked at 12 firms, which includes BROOKSTREET SECURITIES CORPORATION, ROUND HILL SECURITIES INC., GOLDIS FINANCIAL GROUP INC., OPPENHEIMER & CO. INC., GRUNTAL & CO. L.L.C., LCP CAPITAL CORP., UBS FINANCIAL SERVICES INC., FIRST SWISS INTERNATIONAL SECURITIES CORPORATION, R.H.DAMON & CO. INC., D. H. BLAIR & CO. INC., ROONEY PACE INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1998 - June 27, 2006
BROOKSTREET SECURITIES CORPORATION
May 9, 1996 - April 15, 1998
ROUND HILL SECURITIES, INC.
November 8, 1994 - April 24, 1996
GOLDIS FINANCIAL GROUP, INC.
June 18, 1993 - November 1, 1994
OPPENHEIMER & CO. INC.
January 23, 1992 - May 19, 1993
GRUNTAL & CO., L.L.C.
May 31, 1991 - January 28, 1992
LCP CAPITAL CORP.
August 9, 1989 - June 4, 1991
UBS FINANCIAL SERVICES INC.
April 21, 1989 - June 3, 1989
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
February 10, 1989 - April 12, 1989
R.H.DAMON & CO., INC.
April 10, 1987 - February 22, 1989
D. H. BLAIR & CO., INC.
March 17, 1986 - September 29, 1986
ROONEY, PACE INC.
July 26, 1984 - September 30, 1985
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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