Frederick E. Hopper
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.
Frederick Edwin Hopper, who also goes by Fred Hopper, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1970. Frederick had worked at 12 firms and has passed the Series 65, Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2011 - June 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2011 - June 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - April 21, 2011
MORGAN STANLEY
June 1, 2009 - April 21, 2011
MORGAN STANLEY
July 28, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 1, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 4, 1990 - March 12, 1993
WELLS FARGO CLEARING SERVICES, LLC
May 4, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 9, 1985 - May 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
December 3, 1979 - August 19, 1985
E. F. HUTTON & COMPANY INC
February 24, 1978 - January 16, 1980
MORGAN STANLEY DW INC.
May 5, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 14, 1975 - May 24, 1975
MARTIN NELSON & CO., INC.
May 16, 1973 - March 6, 1975
DEAN WITTER & CO. INCORPORATED
November 6, 1970 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 5/23/1995
AMEX Put and Call ExamSeries 000
Date: 10/29/1970
General Securities Principal ExaminationSeries 1
Date: 10/29/1970
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
