Robert T. 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.
Robert Todd Hopkins was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 9 firms and has passed the Series 63, Series 3, Series 7, Series 6 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2008 - November 8, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 5, 1996 - September 13, 2007
COUNTRYWIDE SECURITIES CORPORATION
August 19, 1996 - October 2, 1996
WELLS FARGO SECURITIES INC.
July 17, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
September 22, 1994 - June 19, 1995
BNY MELLON CAPITAL MARKETS, LLC
July 25, 1989 - September 23, 1993
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
November 3, 1988 - March 28, 1989
CITIGROUP GLOBAL MARKETS INC.
July 21, 1986 - September 16, 1988
MJK CLEARING, INC.
February 6, 1986 - July 22, 1986
ADVANTAGE CAPITAL CORPORATION
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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