David D. Hopkins
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.
David Delayne Hopkins was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 4 firms and has passed the Series 65, Series 63, SIE, 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
August 25, 2017 - February 13, 2018
ERNST & YOUNG INVESTMENT ADVISERS LLP
August 6, 2015 - October 30, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 1, 2015 - October 30, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 25, 2015 - April 2, 2015
SECURITIES RESEARCH, INC. OF FLORIDA
January 26, 2015 - April 2, 2015
SECURITIES RESEARCH, INC. OF FLORIDA
October 20, 1998 - January 12, 2001
CUNA BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
Red Flags
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