Victor Topper
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.
Victor Topper, who also goes by VIc Topper, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1992. Victor had worked at 11 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2008 - December 1, 2010
WFG INVESTMENTS, INC.
February 29, 2008 - August 14, 2008
RBC CAPITAL MARKETS, LLC
April 24, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
April 2, 2003 - March 26, 2007
JEFFERIES LLC
January 24, 2001 - March 24, 2003
ING INVESTMENT MANAGEMENT SERVICES LLC
February 6, 1998 - October 16, 1998
INVESCO DISTRIBUTORS, INC.
May 10, 1996 - March 4, 1997
S F SENTRY SECURITIES, INC.
November 10, 1995 - March 26, 1996
AMERICAN SECURITIES BD CO., L.P.
September 26, 1994 - October 7, 1994
GRUNTAL & CO., L.L.C.
July 2, 1993 - August 23, 1994
WEDBUSH SECURITIES INC.
June 29, 1992 - February 25, 1993
DABNEY/RESNICK/IMPERIAL, LLC
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: 3/11/2009
Limited Representative-Equity Trader ExamCurrent Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
