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PETER BRIAN HOPKINS
PETER HOPKINS
CRD#: 4023037
IA
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STONEX ADVISORS INC.CRD#: 174182 DUBLIN, OH
STONEX SECURITIES INC.CRD#: 18456 DUBLIN, OH
0
Disclosures
25
Years of Experience
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State Registrations
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Ohio 9/12/2014
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Virginia 10/9/2014
IA
Ohio 1/30/2015
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/31/2013 - 01/30/2015 | DUBLIN, OH | |
B | 05/31/2013 - 09/12/2014 | DUBLIN, OH | |
IA | 01/28/2004 - 06/10/2013 | DUBLIN, OH | |
B | 01/28/2004 - 06/10/2013 | DUBLIN, OH | |
IA | 07/19/2000 - 01/13/2004 | COLUMBUS, OH | |
B | 07/03/2000 - 01/13/2004 | BALTIMORE, MD | |
B | 09/15/1999 - 07/12/2000 | NEW YORK, NY |
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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.
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.