Ralph M. Klopp
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.
Ralph Martin Klopp was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1964. Ralph had worked at 6 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 1999 - February 28, 2013
KLOPP INVESTMENT MANAGEMENT LLC
September 24, 1990 - February 12, 2004
VANGUARD CAPITAL
May 9, 1978 - September 11, 1990
FINANCIAL SQUARE PARTNERS
September 29, 1975 - March 2, 1978
JOSEPH, MILLER & RUSSELL, INC.
November 5, 1970 - January 23, 1976
J. N. RUSSELL INC.
September 2, 1964 - October 28, 1972
HAYDEN, STONE 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
PC
Date: 5/10/1977
AMEX Put and Call ExamSeries 1
Date: 5/21/1958
Registered Representative ExaminationSeries 00
Date: 2/3/1973
General Securities Principal ExaminationCurrent Firm
KLOPP INVESTMENT MANAGEMENT LLC
CRD#: 106145 / SEC#: 801-52887
Contact information
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 108,346,208 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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