Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hector? Claim Your ProfileHector Angel Lopez is an investment advisor representative with Wells Fargo Advisors Financial Network, LLC. Hector has been in the financial services industry since 1997. Hector is registered with the Securities and Exchange Commission and holds the Series 7, 9, 10, 63 and 65 securities licenses. Hector has experience with investment consulting services, financial planning, pension consulting and portfolio management for individuals and businesses. Hector was previously registered with Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Citicorp Investment Services and National Discount Brokers.
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.
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.
Investment consulting services to institutional clients
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
NC
06/13/2022 - Present
Wells Fargo Advisors Financial Network, LLC (CHARLOTTE NC)
NC
04/28/2010 - 06/09/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
06/17/2008 - 04/29/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
09/22/2005 - 06/27/2008
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NY
03/20/1999 - 09/07/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NE
11/17/1997 - 03/10/1999
NATIONAL DISCOUNT BROKERS (OMAHA NE)
CO
06/18/1997 - 09/11/1997
SCHNEIDER SECURITIES, INC. (DENVER CO)
NJ
01/09/1997 - 06/26/1997
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
IA
Issued 11/14/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/05/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/04/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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