Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolina? Claim Your ProfileCarolina Maria Lopez is a financial professional with over 16 years of experience in the industry. Carolina is currently registered with Neuberger Berman BD LLC and holds Series 63, 65, 7 and SIE licenses. Carolina has previously worked at BMO Capital Markets Corp. and has experience working with clients in New York, New Jersey, Rhode Island, Connecticut, Florida and California.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
NY
03/25/2021 - Present
Neuberger Berman BD LLC (NEW YORK NY)
NY
03/29/2005 - 04/19/2007
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
IA
Issued 08/20/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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