Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Jesus Lopez has been a registered representative in the securities industry since October 12, 1996. David is currently a registered representative with Fidelity Brokerage Services LLC. Prior to joining Fidelity Brokerage Services LLC, David was a registered representative at IAM Capital Corporation, MAN Financial Inc, UBS Warburg LLC, SBC Warburg Dillon Read Inc., SBC Warburg, Inc. and Arnhold and S. Bleichroeder, Inc. David holds the following licenses: Series 4, Series 7, Series 9, Series 10, Series 24, Series 55, Series 57TO, Series 63 and SIE. David is registered in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands.
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.
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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2
RI
03/13/2023 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
CT
04/18/2003 - 12/15/2021
IAM CAPITAL CORPORATION (WESTPORT CT)
NY
03/27/2001 - 07/22/2002
MAN FINANCIAL INC (NEW YORK NY)
NY
06/29/1998 - 03/28/2001
UBS WARBURG LLC (NEW YORK NY)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
05/02/1995 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
10/13/1994 - 04/21/1995
ARNHOLD AND S. BLEICHROEDER, INC. (NEW YORK NY)
BC
Issued 11/18/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2001
Series 4 - Registered Options Principal Examination
BC
Issued 04/05/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/02/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/28/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/12/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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