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Christine Lopes

National Financial Services LLC

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About Christine Lopes

Christine Lopes is a financial professional with over 15 years of experience in the industry. She has held various positions at firms such as Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Co. LLC. Currently, Christine is registered with National Financial Services LLC and Fidelity Brokerage Services LLC, offering a range of financial services. Christine is also a licensed securities principal and holds licenses for Series 6, 7, 24, and 63 exams, demonstrating her comprehensive expertise in the financial industry.

Firm Information

Christine Lopes is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Christine Lopes’s Registration & Firm History

RI

04/28/2022 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

07/24/2006 - 03/16/2017

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

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Licenses & Designations

BC

Issued 08/28/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/23/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/2010

Series 7 - General Securities Representative Examination

BC

Issued 07/21/2006

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christine Lopes.
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