Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Samuel Lopez is a financial advisor with over 27 years of experience in the industry. David is a Certified Financial Planner™ professional, holding licenses in multiple states. David is a registered representative and investment advisor representative with Osaic Wealth, Inc., where David has worked since 2007. Prior to joining Osaic Wealth, Inc., David worked with Citigroup Global Markets Inc. and Royal Alliance Associates, Inc.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
05/10/2024 - Present
Osaic Wealth, Inc. (Laguna Niguel CA)
CA
02/11/1998 - 10/08/2007
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
AZ
08/16/1996 - 02/23/1998
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
IA
Issued 04/03/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/05/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/29/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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