Charles W. Kopp
Professional summary
Charles William Kopp III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Charles had worked at 6 firms, which includes UVEST FINANCIAL SERVICES GROUP INC., CITIZENS SECURITIES INC., BANCNORTH INVESTMENT GROUP INC., CETERA INVESTMENT SERVICES LLC, MML DISTRIBUTORS LLC, VOYA FINANCIAL PARTNERS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2011 - September 20, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
March 2, 2011 - September 20, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 15, 2007 - October 22, 2010
CITIZENS SECURITIES, INC.
February 15, 2007 - October 22, 2010
CITIZENS SECURITIES, INC.
January 1, 2005 - March 9, 2007
BANCNORTH INVESTMENT GROUP, INC.
July 21, 2003 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
November 27, 2001 - May 20, 2003
MML DISTRIBUTORS, LLC
August 22, 1997 - July 24, 2001
VOYA FINANCIAL PARTNERS, LLC
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
Current Firm
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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