Paul R. Cope
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.
Paul Ripley Cope JR was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1970. Paul had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 1 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
November 23, 2006 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
March 29, 2004 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
January 3, 1995 - April 2, 2004
MML INVESTORS SERVICES, LLC
April 14, 1987 - March 16, 1991
COPE CAPITAL INC.
February 24, 1984 - March 16, 1991
COPE CAPITAL INC.
January 4, 1984 - March 2, 1984
CRAIG & ASSOCIATES, INC.
May 17, 1983 - December 5, 1983
SENTRA SECURITIES CORPORATION
December 1, 1982 - February 4, 1983
STRUCTURED SHELTERS SECURITIES, INC.
March 8, 1977 - October 26, 1982
OLD SLIP CAPITAL MANAGEMENT, INC.
December 7, 1970 - March 8, 1977
CNA INVESTOR 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
Series 1
Date: 5/27/1969
Registered Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
