Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Carlos Lopez is a registered representative with J.P. Morgan Securities LLC, working in the San Diego, California area. Jose has worked in the financial industry since 2014 and has held licenses with both J.P. Morgan Securities LLC and Unionbanc Investment Services, LLC in the past. Jose holds Series 6, 7TO, 63, and 66 licenses and is currently registered with the states of California, Texas, Alabama, Arizona, Florida, Georgia, Illinois, Maine, Massachusetts, Nevada, New York, Ohio, Oregon, Puerto Rico, South Dakota, Utah, Virginia, Washington, and Wisconsin. Jose focuses on financial planning, pension consulting, and portfolio management.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
CA
01/10/2024 - Present
J.p. Morgan Securities LLC (SAN DIEGO CA)
CA
08/28/2020 - 11/30/2020
UNIONBANC INVESTMENT SERVICES, LLC (SAN DIEGO CA)
CA
09/08/2014 - 02/27/2019
J.P. MORGAN SECURITIES LLC (SAN DIEGO CA)
BOTH
Issued 10/10/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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