Rachel L. Westfield Hoppes
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.
Rachel Landon Westfield Hoppes, who also goes by Rachel Landon Westfield Hoppes, Rachel Westfield Hoppes, Rachel Landon Westfield, was a registered financial professional .
Rachel is a previously registered financial professional and started their career in finance in 2005. Rachel had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2010 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
April 8, 2010 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
July 7, 2009 - February 25, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 25, 2009 - February 25, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 13, 2007 - May 19, 2009
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - May 19, 2009
MORGAN KEEGAN & COMPANY, LLC
July 20, 2005 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
