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Enrique Jose manuel Lopez-balboa

Alps Distributors, Inc.

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About Enrique Jose manuel Lopez-balboa

Enrique Jose manuel Lopez-balboa is a financial professional with over 30 years of experience in the industry. Currently, Enrique is registered with Alps Distributors, Inc. in Stamford, Connecticut. Previously, Enrique has held positions at several other firms including Jefferies LLC, Neuberger Berman, LLC, Carnes Capital Corporation, Lynch & Mayer Securities Corp., Royal Alliance Associates, Inc., SunAmerica Capital Services, Inc., Integrated Resources Equity Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Enrique holds a Series 3, Series 7, Series 63, and Series 65 licenses.

Firm Information

Enrique Lopez-balboa is currently registered with Alps Distributors, Inc.. Alps Distributors, Inc. is a Corporation that was formed on July 1, 1985. It is registered in 53 states and is also approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

169

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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Enrique Lopez-balboa’s Registration & Firm History

CT

11/03/2014 - Present

Alps Distributors, Inc. (Stamford CT)

CT

04/01/2010 - 09/13/2013

JEFFERIES LLC (STAMFORD CT)

NY

09/25/2000 - 04/07/2009

NEUBERGER BERMAN, LLC (NEW YORK NY)

FL

12/21/1999 - 08/09/2000

CARNES CAPITAL CORPORATION (NAPLES FL)

NY

08/20/1996 - 04/06/1999

LYNCH & MAYER SECURITIES CORP. (NEW YORK NY)

AZ

11/19/1989 - 07/26/1996

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

NJ

10/19/1995 - 07/25/1996

SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)

NA

09/08/1989 - 11/19/1989

INTEGRATED RESOURCES EQUITY CORPORATION

NA

01/21/1986 - 09/28/1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

IA

Issued 08/30/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/26/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/08/2010

Series 3 - National Commodity Futures Examination

BC

Issued 01/18/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Enrique Jose manuel Lopez-balboa.
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