Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lopez is a financial advisor in Chandler, AZ, with over 16 years of experience in the financial industry. David has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since December 2011. Previously, David Lopez was a financial advisor at Chase Investment Services Corp. David Lopez holds the Series 66, Series 7, Series 10, Series 9 and SIE licenses. David Lopez is a registered investment advisor in Arizona, California and Texas. David Lopez specializes in providing financial advice to high-net-worth individuals, corporations, and other businesses, pension and profit-sharing plans, charitable organizations, and insurance companies.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
AZ
05/19/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHANDLER AZ)
AZ
06/17/2010 - 12/15/2011
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
AZ
06/12/2007 - 04/14/2009
CHASE INVESTMENT SERVICES CORP. (TUCSON AZ)
AZ
04/19/2006 - 04/10/2007
A. G. EDWARDS & SONS, INC. (TUCSON AZ)
BOTH
Issued 04/27/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/11/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/22/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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