Leroy C. Kopp
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.
Leroy Clarence Kopp, who also goes by Lee Kopp, was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1967. Leroy had worked at 3 firms and has passed the Series 65, Series 63, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2013 - December 26, 2019
KOPP INVESTMENT ADVISORS
May 5, 1978 - June 15, 1990
DAIN RAUSCHER INCORPORATED
November 3, 1967 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
State Registrations and Notice Filings
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Exams
PC
Date: 5/12/1980
AMEX Put and Call ExamSeries 1
Date: 2/3/1960
Registered Representative ExaminationSeries 40
Date: 12/10/1970
Registered Principal ExaminationSeries 12
Date: 4/14/1965
NYSE Branch Manager ExaminationCurrent Firm
KOPP INVESTMENT ADVISORS
CRD#: 107010 / SEC#: 801-36574
Contact information
Red Flags
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