Herbert Hopwood has been President/Chief Compliance Officer of Hopwood Financial Services since July 2003, is a control person of the firm and directly owns between 50% and 75% of it. Herbert Hopwood holds a Bachelor of Business Administration in Finance from the University of Notre Dame.
Hopwood Financial Services, Inc. is a Reston, VA firm with $750M under management, 288 clients and 6 advisers across 7 offices, as of its August 2026 filing.
Herb Hopwood is President and Senior Wealth Advisor of Hopwood Financial Services. He founded the firm in 2003, after 11 years with West Financial Services, Inc. Earlier in his career he was a financial adviser with Prudential Securities and a trust pension officer and real estate loan officer with First American Bank of Virginia.
Herbert Hopwood’s longest registration is the current one, 23 years at Hopwood Financial Services since 2003. Before joining Hopwood Financial Services in 2003, Herbert Hopwood was registered through West Financial Services Inc.
- – present · 23 yearsAdviser representative · Firm CRD 127927
- West Financial Services Inc– · under a yearMcLean, VA · Adviser representative · Firm CRD 107004
Professional designations
Listed by Hopwood Financial Services
- Chartered Financial Analyst® (CFA®)
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Herbert Hopwood is registered as an investment adviser representative in 2 states. The first approvals date from August 2003; the most recent is Texas, in May 2008.
- TexasSince 13 May 2008
- VirginiaSince 13 August 2003
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 8 February 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 January 1987 |
| Series 7 | General Securities Representative Examination | 20 December 1986 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Herbert Gladstone Hopwood
- CRD
- 1605128
- Firm
- Hopwood Financial Services · CRD 127927
- Role
- President/Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- January 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- hopwoodfinancial.com
Where does Herbert Hopwood work?
Herbert Hopwood has been President/Chief Compliance Officer of Hopwood Financial Services, Inc. since July 2003, and is a control person of the firm.
Is Herbert Hopwood a financial advisor?
Yes. Herbert Hopwood has a current investment-adviser registration in Texas and Virginia, through Hopwood Financial Services since August 2003.
How many years of experience does Herbert Hopwood have?
Herbert Hopwood has 23 years in the financial industry, since January 2003, across 2 adviser firms.
What exams has Herbert Hopwood passed?
Herbert Hopwood has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in December 1986.
Where did Herbert Hopwood work before Hopwood Financial Services?
Before Hopwood Financial Services, Herbert Hopwood was registered through West Financial Services Inc, January 2003 to August 2003.
Is Herbert Hopwood registered with FINRA?
No. Herbert Hopwood has no current broker registration.
Is Herbert Hopwood a CFP?
Hopwood Financial Services lists Herbert Hopwood with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Is Herbert Hopwood a CFA charterholder?
Hopwood Financial Services lists Herbert Hopwood with the CFA credential (“Chartered Financial Analyst® (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify Herbert Hopwood’s record?
Search CRD 1605128 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Herbert Hopwood’s full registration record.
