Individual Firm
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WILLIAM HERMAN HOPKINS JR
BILL HOPKINS JR, BILL HOPKINS
CRD#: 2126063
IA
B
OSAIC INSTITUTIONS, INC.CRD#: 35371 2310 S Charles Blvd.
Greenville, NC 27858
Greenville, NC 27858
0
Disclosures
34
Years of Experience
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State Registrations
B
California 3/31/2020
B
Maryland 9/6/2011
B
Colorado 4/6/2020
B
New Jersey 9/6/2011
B
Delaware 7/23/2018
B
North Carolina 9/6/2011
B
Florida 4/29/2013
IA
North Carolina 9/6/2011
B
Kansas 5/4/2021
B
Virginia 9/6/2011
SRO Registrations
B
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IA
Registered with this firm since 9/6/2011
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Registered with this firm since 9/6/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/2009 - 09/15/2011 | WINTERVILLE, NC | |
B | 07/08/2009 - 09/15/2011 | WINTERVILLE, NC | |
IA | 05/21/2003 - 07/07/2009 | GREENVILLE, NC | |
B | 05/21/2003 - 07/07/2009 | GREENVILLE, NC | |
IA | 02/11/2003 - 06/13/2003 | GREENVILLE, NC | |
B | 01/01/1998 - 06/13/2003 | BOSTON, MA | |
B | 10/15/1997 - 01/01/1998 | ||
B | 10/29/1993 - 10/14/1997 | ST. LOUIS, MO | |
B | 02/21/1991 - 11/09/1993 | ST. LOUIS, MO |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.