John Joseph Hopp

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-02-14
WI	RA	APPROVED	2018-02-14

CA RA
APPROVED

Since 2018-02-14
WI RA
APPROVED

Since 2018-02-14

Branch Locations

Waukesha, WI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Sii Investments	Watertown	WI	02/2013	02/2018
Lpl Financial Llc	Waukesha	WI	02/2018	Present

02/2013 → 02/2018

Sii Investments

Watertown, WI
02/2018 → Present

Lpl Financial Llc

Waukesha, WI

Previous Registrations

2013-02-15 → 2018-02-14

Sii Investments, Inc.

Waukesha, WI

Appleton, WI
1987-08-05 → 2013-02-20

Ameriprise Financial Services, Llc

West Bend, WI

Other Businesses

1. 02/14/2018 - H&H Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-11-02
S63	Uniform Securities Agent State Law Examination	1987-07-30

S65 Uniform Investment Adviser Law Examination

2017-11-02
S63 Uniform Securities Agent State Law Examination

1987-07-30

View on SEC IAPD