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JH

John Raymond Hopp

ALLIANCE-ONE INVESTMENTS
Tulsa, OK
·CRD# 6153276·13 years experience

Professional Summary

John Raymond Hopp, who also goes by John Hopp, is a registered financial advisor currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma. John is registered as a RR (Registered Representative) and started their career in finance in 2013. John has worked at 4 firms and has passed the SIE and Series 6 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Hopp

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures on record.

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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Years of Experience

13 years in the financial services industry

Current & Past Employments

ALLIANCE-ONE INVESTMENTS, LLC·CRD# 286025
BD
4000 N Mingo Rd, Tulsa, OK 74116
October 31, 2019 - Present
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
West Des Moines, IA
December 4, 2014 - June 30, 2016
NEW ENGLAND SECURITIES·CRD# 615
BD
West Des Moines, IA
February 8, 2013 - January 2, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY·CRD# 107622
BD
West Des Moines, IA
January 29, 2013 - October 31, 2019

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Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: 8-69868
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Contact Information

Main Address

4000 N Mingo Rd, Tulsa, OK 74116

Mailing Address

4000 N Mingo Rd, Tulsa, OK 74116

Phone Number

(918) 281-1820

Established

Delaware since 10/20/2016

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Medium

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER—
ARBO, WILLIAM CHARLESPRESIDENT/ CEO / CFO1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 2013About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view John Raymond Hopp's CRS (Customer Relationship Summary).

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