Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ena? Claim Your ProfileEna T Lopez rodriguez is a registered investment advisor representative with HSBC Securities (USA) Inc. Ena has been in the financial services industry for over 20 years. Ena is also registered with the state of Florida as an investment advisor. Prior to working for HSBC Securities (USA) Inc., Ena worked for Citigroup Global Markets Inc. and Citi International Financial Services LLC.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
11/16/2022 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
FL
02/05/2021 - 07/12/2022
CITIGROUP GLOBAL MARKETS INC. (MIAMI FL)
FL
03/12/2021 - 07/27/2021
CITI INTERNATIONAL FINANCIAL SERVICES LLC (MIAMI FL)
FL
01/01/2005 - 08/31/2020
HSBC SECURITIES (USA) INC. (MIAMI FL)
NY
08/29/2002 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NC
04/17/1998 - 08/30/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 05/08/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/01/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2002
Series 7 - General Securities Representative Examination
BC
Issued 03/30/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
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
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