Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Lopez has been a registered professional in the financial services industry since 2002. Catherine has held positions with several well-known firms including Wells Fargo Investments, LLC, AXA Advisors, LLC, Cetera Advisors LLC, Taylor Capital Management, Inc, Comerica Securities, USAA Financial Advisors, Inc, and currently, USAA Investment Services Co. Catherine holds both state and FINRA registrations and is licensed to provide financial advice and services. Catherine is licensed to offer investment advice in 55 states and jurisdictions. Catherine has a strong background in the industry and a commitment to providing clients with personalized financial solutions.
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.
Referrals
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.
Referral fees pursuant to a referral agreement
1
2
TX
11/06/2020 - Present
Usaa Investment Services Co. (SAN ANTONIO TX)
AZ
01/03/2017 - 06/08/2020
USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)
AZ
04/28/2015 - 11/28/2016
COMERICA SECURITIES (PHOENIX AZ)
AZ
07/03/2013 - 04/27/2015
TAYLOR CAPITAL MANAGEMENT INC. (PEORIA AZ)
AZ
07/24/2012 - 07/05/2013
CETERA ADVISORS LLC (PEORIA AZ)
AZ
09/20/2010 - 07/13/2012
AXA ADVISORS, LLC (SCOTTSDALE AZ)
AZ
09/10/2010 - 09/15/2010
CHASE INVESTMENT SERVICES CORP. (GLENDALE AZ)
AZ
08/23/2005 - 09/09/2010
WELLS FARGO INVESTMENTS, LLC (PEORIA AZ)
CA
06/26/2002 - 07/29/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
BOTH
Issued 08/12/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/20/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/03/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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