Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you George? Claim Your ProfileGeorge Lopes is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. George is a veteran in the industry, having started his career in 1983. He has held previous roles at Dean Witter Reynolds Inc., Glenfed Brokerage Services, Barnett Investments, Inc. and BANC OF AMERICA INVESTMENT SERVICES, INC. George is licensed in multiple states including Florida, Texas, Arizona, California, Connecticut, District of Columbia, Georgia, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Tennessee, Virginia and Washington. George provides a variety of financial services to his clients including portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors.
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
FL
09/18/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JUPITER FL)
FL
04/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (JUPITER FL)
NA
11/30/1988 - 04/01/1998
BARNETT INVESTMENTS, INC.
FL
12/04/1986 - 04/01/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NA
10/13/1987 - 07/01/1988
GLENFED BROKERAGE SERVICES
NA
07/21/1983 - 11/03/1986
DEAN WITTER REYNOLDS INC.
IA
Issued 05/04/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/30/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/23/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1983
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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