Robert Lee Hopkins
Professional Summary
Robert Lee Hopkins was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1971 - 2005. Robert had worked at 12 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 5, Series 18, Series 1, Series 53, Series 27, Series 12, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
DUNWOODY BROKERAGE SERVICES, INC.
Contact Information
Established
Georgia since 12/07/1992Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Apr 1985Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 18 — Securities Industry Rules and Regulations Examination
Passed May 1977Series 1 — Registered Representative Examination
Passed Feb 1969Series 12 — NYSE Branch Manager Examination
Passed Mar 1984Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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