James H. 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.
James Henry Hopkins, who also goes by James H Hopkins, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2013 - December 31, 2014
CLAYTON CHASE ASSET MANAGEMENT, LLC.
May 5, 2006 - December 31, 2008
CLAYTON CHASE ASSET MANAGEMENT, LLC.
February 20, 2004 - May 17, 2004
SAXONY SECURITIES, INC.
January 9, 2002 - May 23, 2003
ABSOLUTE RETURN ADVISORS, LTD.
January 28, 1999 - June 27, 2001
OAKBRIDGE FINANCIAL SERVICES
October 26, 1995 - February 4, 1999
JOHNSON RESEARCH & CAPITAL INCORPORATED
May 7, 1993 - October 10, 1995
PAULI & COMPANY, INC
June 19, 1987 - December 3, 1992
A. G. EDWARDS & SONS, INC.
May 23, 1986 - June 24, 1987
UBS FINANCIAL SERVICES 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
CLAYTON CHASE ASSET MANAGEMENT, LLC.
CRD#: 140344 / SEC#: 801-66640
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
