Roy S. Popkin
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.
Roy Stanley Popkin, who also goes by Roy S Popkin, Roy Popkin, Roy Stanley Poplin, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1984. Roy had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2014 - May 11, 2018
QUESTAR ASSET MANAGEMENT, INC.
November 19, 2014 - May 11, 2018
QUESTAR CAPITAL CORPORATION
May 15, 2009 - November 19, 2014
CADARET, GRANT & CO., INC.
May 15, 2009 - November 19, 2014
CADARET, GRANT & CO., INC.
April 14, 2004 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 14, 2004 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 14, 2003 - April 2, 2004
A. G. EDWARDS & SONS, INC.
January 17, 2000 - April 2, 2004
A. G. EDWARDS & SONS, INC.
November 8, 1989 - April 2, 1991
UBS FINANCIAL SERVICES INC.
July 11, 1989 - November 14, 1989
MINOTAUR SECURITIES CORPORATION
May 18, 1987 - February 6, 1989
LEHMAN BROTHERS INC.
August 27, 1984 - May 21, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
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