Elmer J. Klopfenstein
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.
Elmer Jay Klopfenstein was a registered financial professional .
Elmer is a previously registered financial professional and started their career in finance in 1957. Elmer had worked at 5 firms and has passed the Series 63, Series 5, Series 1, Series 4, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2003 - June 8, 2004
TRADEPRO SECURITIES, LLC.
January 4, 1978 - December 11, 2001
NORWOOD SECURITIES
August 23, 1974 - August 16, 1977
MF GLOBAL INC.
April 3, 1973 - June 25, 1973
BURTON J. VINCENT, CHESLEY & CO.
September 13, 1957 - April 25, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 9/13/1957
Registered Representative ExaminationSeries 40
Date: 9/21/1977
Registered Principal ExaminationF04
Date: 8/24/1977
Financial Principal ExaminationCurrent Firm
TRADEPRO SECURITIES, LLC.
CRD#: 103781 / SEC#: , 8-52282
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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