Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexis? Claim Your ProfileAlexis Lopez is an investment advisor representative associated with Stifel, Nicolaus & Company, Inc., located in Pueblo, Colorado. Alexis has been in the securities industry since November 10, 2009. Alexis holds licenses in 46 states. The firm provides investment advisory services to individuals and businesses, as well as to pension and profit sharing plans, charitable organizations, investment companies, and pooled investment vehicles. Alexis works with a range of clients, including high net worth individuals, corporations, and other businesses.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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
CO
02/14/2022 - Present
Stifel, Nicolaus & Company, Inc. (PUEBLO CO)
FL
11/10/2009 - 02/22/2022
MORGAN STANLEY (Sarasota FL)
BOTH
Issued 12/08/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/20/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/17/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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