Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brock Hopkinson is a financial advisor with over 19 years of experience in the industry. James is currently registered with Charles Schwab & CO., Inc. as an Investment Advisor Representative and has held previous registrations with FSC Securities Corporation, Royal Alliance Associates, Inc., Woodbury Financial Services, Inc., Sagepoint Financial, Inc., and First Allied Securities, Inc.. James specializes in financial planning and providing investment advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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AZ
09/08/2014 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
GA
01/10/2014 - 08/18/2014
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
01/10/2014 - 08/18/2014
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MN
01/10/2014 - 08/18/2014
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
AZ
01/08/2014 - 08/18/2014
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
FL
06/08/2004 - 08/26/2013
FIRST ALLIED SECURITIES, INC. (FT MYERS FL)
IA
Issued 01/04/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/23/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/26/2006
Series 4 - Registered Options Principal Examination
BC
Issued 01/24/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/21/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/19/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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