John R. Hopkins
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.
John Raymond Hopkins, who also goes by John Hopkins, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 24 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
July 11, 2017 - January 14, 2019
VANGUARD ADVISERS, INC.
July 11, 2017 - January 14, 2019
VANGUARD MARKETING CORPORATION
September 26, 2014 - June 19, 2017
PNC WEALTH MANAGEMENT LLC
September 26, 2014 - June 19, 2017
PNC WEALTH MANAGEMENT LLC
January 26, 2012 - September 17, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2012 - September 17, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2011 - January 6, 2012
ALLY INVEST SECURITIES LLC
September 19, 2005 - February 27, 2006
SPIKE FINANCIAL SERVICES, LLC
April 14, 2005 - July 20, 2005
PETRA TRADING GROUP LLC
November 18, 2004 - February 22, 2005
PETRA TRADING GROUP LLC
August 18, 2004 - February 10, 2005
LEK SECURITIES CORPORATION
June 13, 2002 - February 11, 2005
TERRA NOVA FINANCIAL, LLC
November 1, 1999 - June 12, 2002
TERRA NOVA FINANCIAL, LLC
March 10, 1989 - October 25, 1999
MF GLOBAL INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
