WH
William E. Hoppe
INTERNATIONAL ASSETS ADVISORY
Dallas, TX 75201
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CRD#: 4836716
WH
Professional summary
William Edwin Hoppe III, who also goes by Trey Edwin Hoppe, is a registered financial professional currently at INTERNATIONAL ASSETS ADVISORY, LLC located in Dallas, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 2009. William has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Trey Edwin Hoppe
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Edwin Hoppe III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 9, 2017 - Present
INTERNATIONAL ASSETS ADVISORY, LLC
Office #1: 2101 Cedar Springs Road Suite 700, Dallas, TX 75201RIA
BD
CRD#: 10645
Dallas, TX
Past
August 20, 2015 - October 17, 2017
EMERSON EQUITY LLC
BD
CRD#: 130032
Farmers Branch, TX
Past
January 16, 2015 - July 1, 2015
JCC CAPITAL MARKETS, LLC
BD
CRD#: 146776
Dallas, TX
Past
March 12, 2009 - May 20, 2009
SHIELDADVISORS CORP.
RIA
CRD#: 139205
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
RIA
Registered Investment Advisory firm - SEC (7/21/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/9/2017)
RR
Florida(10/9/2017)
RR
Texas(10/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
RIA
Registered Investment Advisory firm - SEC (7/21/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Mailing Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Phone number
(407) 254-1500
Established
Florida since 07/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645Dallas, TX 75201TRUST BUT VERIFY
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