Kevin F. 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.
Kevin Franklin Hopkins was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1986. Kevin had worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2012 - October 28, 2020
WAKE WEALTH MANAGEMENT CO.
November 16, 2010 - February 7, 2011
NATIONWIDE SECURITIES, LLC
March 1, 2010 - November 11, 2010
GROVE POINT INVESTMENTS, LLC
June 5, 2008 - November 11, 2010
GROVE POINT INVESTMENTS, LLC
April 1, 2003 - July 11, 2006
1717 CAPITAL MANAGEMENT COMPANY
August 16, 2001 - April 2, 2003
PRINCIPAL SECURITIES, INC.
July 12, 2000 - August 10, 2001
METROPOLITAN LIFE INSURANCE COMPANY
July 12, 2000 - August 10, 2001
MSI FINANCIAL SERVICES, INC.
November 18, 1999 - July 18, 2000
MONY SECURITIES CORPORATION
March 1, 1996 - December 10, 1999
MML INVESTORS SERVICES, LLC
March 24, 1986 - March 1, 1996
G. R. PHELPS & CO., INC.
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
WAKE WEALTH MANAGEMENT CO.
CRD#: 159170 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 8,500,000 |
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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