George D. Hopper
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.
George Deamilton Hopper III, who also goes by George D Hopper III, George D Hopper, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1978. George had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2005 - June 8, 2018
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
August 30, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
October 8, 1998 - September 18, 2000
PENSON FINANCIAL SERVICES, INC.
June 11, 1997 - September 18, 1998
INTERFIRST CAPITAL CORPORATION
February 11, 1993 - June 10, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
October 8, 1991 - February 26, 1993
UBS FINANCIAL SERVICES INC.
August 14, 1984 - October 3, 1985
UBS FINANCIAL SERVICES INC.
January 3, 1978 - October 21, 1991
RAUSCHER PIERCE REFSNES, 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
Current Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
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.
