Stuart M. Kopman
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.
Stuart Marc Kopman was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1995. Stuart had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2001 - August 14, 2001
CONTINENTAL BROKER-DEALER CORP.
February 24, 1999 - June 29, 1999
JOSEPH CHARLES & ASSOC., INC.
December 14, 1995 - December 10, 1998
TD AMERITRADE, INC.
August 11, 1995 - November 20, 1995
FIRST ASSET MANAGEMENT, INC.
April 4, 1995 - June 13, 1995
CHATFIELD DEAN & CO., INC.
February 24, 1995 - April 18, 1995
CONTINENTAL BROKER-DEALER CORP.
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 8
Date: 3/24/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
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.
