Career
Maxwell Hopkins has been Chief Risk Officer, Assistant General Counsel, and Compliance Officer of Gateway Investment Advisers since January 2026. Maxwell Hopkins is not listed as a control person, but directly owns under 5% of the firm.
Gateway Investment Advisers, LLC is a Cincinnati, OH firm with $11.6B under management, 318 clients and 10 advisers across 3 offices, as of its July 2026 filing.
- Strategic Advisers, Inc.– · 1 yearCovington, KY · Adviser representative · Firm CRD 104555
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 23 December 2015 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 17 December 2015 |
| Series 66 | Uniform Combined State Law Examination | 9 January 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 May 2014 |
| Series 7 | General Securities Representative Examination | 22 April 2014 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 July 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Maxwell James Hopkins
- CRD
- 6079029
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Maxwell Hopkins work?
Maxwell Hopkins has been Chief Risk Officer, Assistant General Counsel, and Compliance Officer of Gateway Investment Advisers, LLC since January 2026.
Does Maxwell Hopkins have a current investment-adviser registration?
Maxwell Hopkins has no current investment-adviser or broker registration.
What exams has Maxwell Hopkins passed?
Maxwell Hopkins has passed 6 licensing exams: the Series 6, Series 7, Series 63, Series 66, Series 10 and Series 9. The earliest, the Series 6, was passed in July 2012. FINRA credited Maxwell Hopkins with the SIE, which began in October 2018.
Where was Maxwell Hopkins previously registered as an investment adviser?
Maxwell Hopkins has past investment-adviser registrations through Strategic Advisers, Inc., January 2015 to November 2016, across 1 firm.
Leadership at Gateway Investment Advisers
- Michael BuckiusChief Executive Officer, Chief Investment Officer, Board Member, and Portfolio Manager
- Daniel AshcraftSenior Vice President, Board Member, and Portfolio Manager
- Dylan BarlowVice President and Portfolio Manager
- Daniel BeckwithSenior Vice President and Portfolio Manager
- Theresa BridgeVice President and Chief Financial Officer
- Michael KnapkeVice President, Director of Marketing
- Julie SchmuellingPresident, Chief Operating Officer, and Board Member
- Stephen SolakaSenior Vice President and Portfolio Manager
- Kenneth ToftSenior Vice President and Portfolio Manager
- Mitchell TrottaVice President and Portfolio Manager
- Tricia TomichGeneral Counsel, Chief Compliance Officer, and Secretary
- David GiuntaBoard Member
- James OrfanosBoard Member
- Eric WardBoard Member