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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Alexis Lopez is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Alan Alexis Lopez has been in the securities industry since 2012. Alan Alexis Lopez has a Series 7, 6, 63, 66, 9 and 10 licenses. Alan Alexis Lopez has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2018. Previously, Alan Alexis Lopez was registered with LPL FINANCIAL LLC and J.P. MORGAN SECURITIES LLC. Alan Alexis Lopez is a registered Investment Advisor in Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
05/11/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
07/09/2015 - 05/07/2018
LPL FINANCIAL LLC (MCALLEN TX)
TX
10/01/2012 - 05/22/2014
J.P. MORGAN SECURITIES LLC (BROWNSVILLE TX)
TX
08/14/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BROWNSVILLE TX)
BOTH
Issued 03/10/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/21/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/01/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2015
Series 7 - General Securities Representative Examination
BC
Issued 08/13/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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