Evan R. Stoopler
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.
Evan Russell Stoopler was a registered financial professional .
Evan is a previously registered financial professional and started their career in finance in 1988. Evan had worked at 12 firms and has passed the Series 63, Series 55, 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
October 9, 2006 - August 17, 2007
WESTMINSTER FINANCIAL SECURITIES, INC.
May 16, 2006 - August 3, 2006
OPUS TRADING FUND LLC
December 21, 2001 - August 8, 2003
SCHONFELD SECURITIES, LLC
August 21, 2001 - November 1, 2001
CARLIN EQUITIES, LLC
December 22, 1999 - August 10, 2001
SCHONFELD SECURITIES, LLC
November 11, 1997 - January 6, 2000
ON-SITE TRADING, INC.
February 13, 1997 - September 23, 1997
TRIMERICA SECURITIES INC
February 27, 1996 - May 2, 1996
PRIME EXECUTIONS, INC.
May 23, 1995 - December 21, 1995
GRUNTAL & CO., L.L.C.
August 17, 1993 - June 5, 1995
EHRENKRANTZ KING NUSSBAUM
September 4, 1990 - September 12, 1990
WELLS FARGO CLEARING SERVICES, LLC
September 4, 1990 - September 15, 1993
LADENBURG THALMANN & CO. INC.
September 20, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, 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
Series 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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