William J. Hopke
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.
William Joseph Hopke, who also goes by Joe Joseph Hopke Jr, Joey Joseph Hopke Jr, William Joseph Hopke Jr, Hopke Joseph William Joseph, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2013 - February 24, 2020
JEFFERIES LLC
August 25, 2011 - August 7, 2013
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
September 9, 2010 - August 7, 2013
WELLS FARGO SECURITIES, LLC
May 15, 2009 - June 23, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - June 23, 2010
BARCLAYS CAPITAL INC.
November 25, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
October 14, 2005 - November 2, 2005
MORGAN STANLEY DW INC.
October 13, 2005 - November 2, 2005
MORGAN STANLEY DW INC.
January 9, 2004 - June 28, 2005
MORGAN KEEGAN & COMPANY, LLC
February 12, 2003 - December 31, 2003
MORGAN KEEGAN & COMPANY, LLC
October 19, 2001 - June 28, 2005
MORGAN KEEGAN & COMPANY, LLC
August 8, 2001 - October 16, 2001
IDS LIFE INSURANCE COMPANY
August 8, 2001 - October 16, 2001
AMERIPRISE FINANCIAL SERVICES, 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
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
