Sean T. Hopkins

BIG ROCK ADVISORS LLC

SAG HARBOR, NY 11963

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CRD#: 5937931

Professional summary

Sean Thomas Hopkins, who also goes by Sean Thomas Hopkins, Sean Hopkins, is a registered financial advisor currently at BIG ROCK ADVISORS LLC located in Sag Harbor, New York.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Sean has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Thomas Hopkins | Sean 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.

La Sala CPA P.C.; Not Investment Related; Riverhead, NY; Accountant; Bookkeeping and obtain CPA work experience; Started 02/01/2025; Approximately 80 hours per month spent; Approximately 52 hours per month spent during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Thomas Hopkins'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®

None

Experience

Current

April 18, 2024 - Present

BIG ROCK ADVISORS LLC

Office #1: 35 Main Street, Sag Harbor, NY 11963

RIA

CRD#: 330067

SAG HARBOR, NY

Past

August 6, 2020 - March 27, 2024

TRADEWEB LLC

CRD#: 42759

NEW YORK, NY

Past

April 24, 2014 - March 27, 2024

TRADEWEB DIRECT LLC

CRD#: 103787

NEW YORK, NY

Past

September 25, 2013 - June 12, 2014

TRADEWEB LLC

CRD#: 42759

NEW YORK, NY

Past

July 25, 2011 - September 23, 2013

VAN ECK SECURITIES CORPORATION

CRD#: 2269

NEW YORK, NY

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

New York
(4/18/2024)

IAR

Texas
(12/19/2024)

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

Series 63

Date: 8/15/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/17/2023

General Securities Principal Examination

Current Firm

BIG ROCK ADVISORS LLC

CRD#: 330067 / SEC#:

New York

Registered Investment Advisory firm - (3/8/2024 Approved)

Texas

Registered Investment Advisory firm - (12/18/2024 Conditional Restricted)

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Contact information

Main Address

35 Main Street, Sag Harbor, NY 11963

Mailing Address

Po Box 148, Sag Harbor, NY 11963

Phone number

(631) 725-0300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 8,140,000

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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Firm Stability Insights

Sean T. Hopkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Thomas Hopkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

BIG ROCK ADVISORS LLC

TRADEWEB LLC

TRADEWEB DIRECT LLC

TRADEWEB LLC

VAN ECK SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/22/2011

Series 24

Date: 8/17/2023

Current Firm

BIG ROCK ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BIG ROCK ADVISORS LLC

TRUST BUT VERIFY

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