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DH

Douglas R. Hopek

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CRD#: 2368542
DH

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.

Douglas Richard Hopek, who also goes by Douglas R Hopek, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas R Hopek

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 2, 2015 - December 2, 2016

CITY SECURITIES CORPORATION

BD
CRD#: 1459
CHICAGO, IL
Past

July 19, 2010 - April 7, 2015

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
CHICAGO, IL
Past

April 3, 2000 - June 22, 2009

FIRST ANALYSIS SECURITIES CORPORATION

BD
CRD#: 10446
CHICAGO, IL
Past

September 11, 1998 - April 11, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 3, 1997 - September 1, 1998

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

June 4, 1996 - August 25, 1997

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

March 31, 1994 - March 11, 1996

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/1994
General Securities Representative Examination

Current Firm

CS
CITY SECURITIES CORPORATION
BURNETT JACOBSON FINANCIAL GROUP | TANNER WEALTH MANAGEMENT | STROUSE KELLER INCOME ADVISORS | SAGAMORE FINANCIAL GROUP | RAINES/DIETZ ADVISORY TEAM | PRATT INVESTMENT GROUP | PERRY RAINES GROUP | PATHWAY ADVISORY GROUP | MINAS SABAU PORTERFIELD GROUP | MAINSTAY WEALTH MANAGEMENT GROUP | LEGACY FINANCIAL GROUP | JACK PERRY WEALTH MANAGEMENT | ENDEAVOR INVESTMENT SOLUTIONS | CITY WEALTH ADVISORS | CITY SECURITIES CORPORATION

CRD#: 1459 / SEC#: 801-67527, 8-975

BD
Terminated by SEC on 09/18/2017
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Contact information

Main Address
30 South Meridian Street Suite 600, Indianapolis, IN 46204-3573
Mailing Address
Phone number
Established
Indiana since 01/01/1925
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - APPENDIX 1 - WRAP BROCHURE (12/19/2016)
ADV PART 2A - FIRM BROCHURE (12/19/2016)

Direct owners and executive officers

NamePositionCRD#
CITY SECURITIES, LLCHOLDING COMPANY
OLSEN, JOHN GERALDCCO1395283

Disclosures

Regulatory Event14

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.

Company Information

CITY SECURITIES CORPORATION

CRD#: 1459

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