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Detailed Report
Khristopher Robert Hoopes
CRD#: 7745582
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 10801 W. CHARLESTON BLVD
LAS VEGAS, NV 89135
Registration History
Oct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Arizona 12/8/2023
B
Illinois 12/8/2023
B
California 12/8/2023
B
Montana 12/8/2023
B
Colorado 8/29/2024
B
Nevada 9/8/2023
B
Florida 10/30/2024
IA
Nevada 9/14/2023
B
Idaho 12/8/2023
B
Utah 12/8/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
10801 W. CHARLESTON BLVD, LAS VEGAS, NV 89135
Registered with this firm since 9/14/2023
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
10801 W. CHARLESTON BLVD, LAS VEGAS, NV 89135
Registered with this firm since 8/18/2023
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.