William T. Popp
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.
William Terrance Popp, who also goes by Terry Popp, William Terrence Popp, William Terry Popp, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 19 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2015 - May 31, 2016
HOLISTIC BROKERAGE, LLC
June 28, 2010 - August 10, 2015
LASALLE ST SECURITIES, L.L.C.
February 4, 2008 - February 12, 2009
MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.
May 4, 2006 - September 24, 2007
CAROLINA CAPITAL MARKETS, INC.
December 6, 2005 - April 20, 2006
B. RILEY WEALTH MANAGEMENT
November 1, 2004 - June 1, 2005
JEFFERIES LLC
August 30, 2004 - November 1, 2004
BONDS DIRECT SECURITIES LLC
January 2, 2002 - August 3, 2004
AMHERST SECURITIES GROUP, L.P.
July 13, 1998 - December 18, 2001
LASALLE ST SECURITIES, L.L.C.
February 2, 1994 - July 22, 1998
VIPO SECURITIES
January 24, 1991 - December 18, 1993
MMAR GROUP, INC.
January 13, 1988 - October 31, 1990
ROBERT THOMAS SECURITIES, INC
July 16, 1987 - November 23, 1987
MOSELEY SECURITIES CORPORATION
February 20, 1986 - July 16, 1987
J.P. MORGAN SECURITIES LLC
November 19, 1984 - March 3, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
June 22, 1984 - November 14, 1984
LEHMAN BROTHERS INC.
September 1, 1981 - May 3, 1984
BLACK & COMPANY, INC.
May 16, 1979 - August 30, 1981
KIDDER, PEABODY & CO. INCORPORATED
September 18, 1978 - May 30, 1979
MARCUS, STOWELL & BEYE, INC.
January 25, 1978 - October 17, 1979
UMIC, INC.
March 10, 1977 - January 19, 1978
MARCUS, STOWELL & BEYE, 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: 3/7/1977
Registered Representative ExaminationCurrent Firm
HOLISTIC BROKERAGE, LLC
CRD#: 46001 / SEC#: , 8-51285
Contact information
FINRA licenses (21 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
