John C. Hopf
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.
John Clarke Hopf, who also goes by John C Hopf, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 4 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2002 - September 25, 2003
A.B. WATLEY, INC.
September 10, 1998 - October 7, 2002
RUMSON CAPITAL, LLC
November 21, 1997 - September 3, 1998
BRIARWOOD INVESTMENT COUNSEL
September 16, 1996 - November 21, 1997
MAIDSTONE FINANCIAL, INC.
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 55
Date: 7/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
A.B. WATLEY, INC.
CRD#: 797 / SEC#: , 8-7080
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
