Robert L. Hopkins
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.
Robert Lee Hopkins was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 1993 - September 27, 2005
DUNWOODY BROKERAGE SERVICES, INC.
May 21, 1992 - April 21, 1993
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
January 28, 1991 - May 26, 1992
ARGENT SECURITIES, INC.
October 9, 1990 - January 30, 1991
TITAN/VALUE EQUITIES GROUP, INC.
November 21, 1989 - September 14, 1990
A. G. EDWARDS & SONS, INC.
September 21, 1981 - December 12, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
July 9, 1980 - September 1, 1981
WILSON-HOPKINS SECURITIES, INC.
October 16, 1978 - May 15, 1980
CANTOR FITZGERALD & CO.
March 16, 1978 - November 13, 1978
CITIGROUP GLOBAL MARKETS INC.
May 26, 1977 - February 26, 1978
R. W. PRESSPRICH & CO. INCORPORATED
March 22, 1973 - November 29, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 10, 1971 - April 21, 1973
DREXEL FIRESTONE 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 15
Date: 4/9/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 18
Date: 5/20/1977
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 2/3/1969
Registered Representative ExaminationSeries 12
Date: 3/17/1984
NYSE Branch Manager ExaminationCurrent Firm
DUNWOODY BROKERAGE SERVICES, INC.
CRD#: 31183 / SEC#: , 8-45423
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
