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Information

Firm:
Type: Registered Representative
Description

Dieter Hoeppli is a financial professional at Deutsche Bank Securities Inc., a broker-dealer with over 3,550 registered representatives nationwide. Dieter has held an industry securities registration for 15 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Dieter M Hoeppli has not answered any questions on Financial Q&A.

Top Guides

Dieter M Hoeppli has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Corporations or Other Businesses
Individuals
State or Municipal Government Entities
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Deutsche Bank Securities Inc. 2 years, 10 months Jun 2011 - Present
UBS 17 years, 3 months Jan 1994 - Apr 2011
Warburg Dillon Read LLC 21 years, 5 months Nov 1989 - Apr 2011
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
08/12/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 10/25/2011
General Securities Representative Examination Series 7 02/18/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions