Louis W. Hoppe
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.
Louis William Hoppe, who also goes by Lou Hoppe, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1987. Louis had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2011 - March 3, 2016
FOOTHILL SECURITIES, INC.
February 10, 2011 - March 3, 2016
FOOTHILL SECURITIES, INC.
March 5, 2007 - February 11, 2011
QA3 FINANCIAL LLC
March 5, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
October 18, 2002 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
October 18, 2002 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
July 8, 1997 - October 18, 2002
CETERA ADVISORS LLC
July 8, 1993 - October 18, 2002
CETERA ADVISORS LLC
August 29, 1991 - September 16, 1994
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
December 13, 1989 - August 28, 1991
GRIFFIN FINANCIAL SERVICES
June 20, 1989 - December 19, 1989
AMERICAN INVESTORS COMPANY
August 22, 1988 - June 27, 1989
MARATHON PROPERTIES, INC.
July 9, 1987 - August 27, 1988
AGFC INVESTMENT SECURITIES
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
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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