Denise M. Klopp
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.
Denise Marie Klopp, who also goes by Denise Marie Cooley, Denise Marie Otto, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2000. Denise had worked at 5 firms and has passed the Series 63, SIE 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 3, 2021 - April 8, 2024
CRAIG-HALLUM CAPITAL GROUP LLC
November 5, 2019 - January 13, 2020
SS&C MARKET SERVICES, LLC
November 17, 2014 - November 1, 2019
MORGAN STANLEY
November 15, 2011 - March 25, 2014
MORGAN STANLEY
June 17, 2008 - August 29, 2011
COLLIERS SECURITIES LLC
May 16, 2000 - November 20, 2006
RBC CAPITAL MARKETS, 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
Current Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
