Curtis J. Pope
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.
Curtis James Pope was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1980. Curtis had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2007 - June 23, 2008
BROAD STREET SECURITIES, INC.
July 31, 1993 - January 26, 2006
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
February 8, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
March 18, 1980 - December 13, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BROAD STREET SECURITIES, INC.
CRD#: 36101 / SEC#: , 8-47171
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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