Harold H. Hopkins
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.
Harold Howard Hopkins JR, who also goes by Hal Hopkins, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1978. Harold had worked at 8 firms and has passed the Series 65, Series 63, 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
February 7, 1995 - September 28, 2004
VISTA FINANCIAL SERVICES CORPORATION
November 20, 1989 - February 13, 1995
INVESTORS BROKERAGE SERVICES, INC.
April 25, 1989 - October 23, 1989
GREEN HILL FINANCIAL SERVICE CORPORATION
December 22, 1988 - February 25, 1989
PRINCIPAL SECURITIES, INC.
January 27, 1982 - December 8, 1988
WASHINGTON NATIONAL EQUITY COMPANY
July 3, 1980 - September 23, 1981
THE GREAT-WEST LIFE ASSURANCE COMPANY
November 15, 1978 - January 31, 1980
ALL AMERICAN MANAGEMENT CORPORATION
May 18, 1978 - September 13, 1978
METLIFE INVESTORS DISTRIBUTION COMPANY
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: 5/13/1978
Registered Representative ExaminationCurrent Firm
VISTA FINANCIAL SERVICES CORPORATION
CRD#: 37626 / SEC#: , 8-47828
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VISTA FINANCIAL GROUP,INC. | SHARE HOLDER | |
| RUTKOWSKI, JOSEPH WILLIAM JR | PRINCIPAL | 2232900 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
