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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arturo? Claim Your ProfileArturo Lopez Unzueta is a financial advisor at MML Investors Services, LLC. Arturo Lopez Unzueta has been in the financial industry since August 23, 2001. Arturo Lopez Unzueta has a wide range of experience in the financial industry, including working at Morgan Stanley, Financial Network Investment Corporation, Ameriprise Financial Services, Inc., CitiCorp Investment Services, and Transamerica Financial Advisors, Inc. Arturo Lopez Unzueta is licensed in 53 states and is registered with the Securities and Exchange Commission (SEC) as an investment advisor representative.
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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
CA
01/21/2022 - Present
MML Investors Services, LLC (BEVERLY HILLS CA)
CA
06/02/2011 - 10/26/2012
MORGAN STANLEY (BREA CA)
CA
01/05/2010 - 05/23/2011
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CA
01/22/2007 - 10/12/2009
AMERIPRISE FINANCIAL SERVICES, INC. (IRVINE CA)
CA
09/07/2006 - 11/08/2006
CITICORP INVESTMENT SERVICES (RIVERSIDE CA)
CA
03/01/2001 - 08/28/2006
TRANSAMERICA FINANCIAL ADVISORS, INC. (LOS ANGELES CA)
IA
Issued 6/1/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/31/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 3/26/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/28/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/13/2003
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/28/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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