Emily H. Hopkins

WEALTHSPIRE RETIREMENT ADVISORY

Aliso Viejo, CA 92656

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CRD#: 5569565

Professional summary

Emily Hing Hopkins, who also goes by Emily E Hing, Emily E Hopkins, Emily H Hopkins, Emily Hing Hopkins, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Aliso Viejo, California.

Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Emily has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emily E Hing | Emily E Hopkins | Emily H Hopkins | Emily Hing Hopkins

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.

Business Name: NFP NFP Retirement Investment Related: Yes Address: 120 Vantis, 400 Aliso Viejo CA 92656 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Sr Plan Advisor Start Date: 12/24/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Meeting with clients to review investments

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Hing Hopkins's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 5, 2024 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656

RIA

CRD#: 121254

Aliso Viejo, CA

Past

November 10, 2022 - October 7, 2024

WORLD INVESTMENT ADVISORS, LLC

RIA

CRD#: 208512

La Canada, CA

Past

November 10, 2022 - October 7, 2024

PENSIONMARK SECURITIES, LLC

CRD#: 283952

SANTA BARBARA, CA

Past

December 24, 2019 - December 31, 2020

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Aliso Viejo, CA

Past

July 28, 2014 - December 31, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Aliso Viejo, CA

Past

April 2, 2012 - October 14, 2022

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

ALISO VIEJO, CA

Past

May 30, 2011 - July 22, 2014

FINANCIAL TELESIS INC

CRD#: 31012

ALISO VIEJO, CA

Past

October 14, 2008 - November 16, 2010

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2008

General Securities Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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.

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Advisor Monitoring

Firm Stability Insights

Emily H. Hopkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Hing Hopkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD INVESTMENT ADVISORS, LLC

PENSIONMARK SECURITIES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WEALTHSPIRE RETIREMENT ADVISORY

FINANCIAL TELESIS INC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2012

Series 63

Date: 9/19/2008

SIE

Date: 12/31/2017

Series 7

Date: 10/13/2008

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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