Individual Firm
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LAURENCE DAVID POPLACK
LARRY POPLACK
CRD#: 2694160
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COOPER POINT ADVISORS LLCCRD#: 132928 OLYMPIA, WA
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5/10/1962
Criminal
Final Disposition
State Registrations
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California 11/15/2004
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Washington 11/3/2004
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/05/2003 - 04/25/2005 | OLYMPIA, WA | |
IA | 04/10/2003 - 04/25/2005 | OLYMPIA, WA | |
B | 04/07/2003 - 04/25/2005 | BOSTON, MA | |
IA | 04/18/2002 - 04/14/2003 | VISALIA, CA | |
B | 03/09/2002 - 04/14/2003 | NEW YORK, NY | |
B | 06/16/2000 - 03/09/2002 | SAN FRANCISCO, CA | |
B | 10/22/1999 - 06/19/2000 | ST. LOUIS, MO | |
B | 04/18/1996 - 11/18/1999 | NEWPORT BEACH, CA |
OLYMPIA, WA
04/10/2003 - 04/25/2005
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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.
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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.