Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Lopes is a financial professional with over 10 years of experience in the industry. Joshua currently works at Commonfund Securities, Inc. where Joshua has been registered since March 2016. Previously, Joshua was registered with Legg Mason Investor Services, LLC and Metlife Investors Distribution Company. Joshua holds a Series 6, 7, 31 and SIE.
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.
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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2
CT
03/14/2016 - Present
Commonfund Securities, Inc. (WILTON CT)
CT
10/17/2012 - 07/01/2015
LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)
CT
10/02/2008 - 10/05/2012
METLIFE INVESTORS DISTRIBUTION COMPANY (BLOOMFIELD CT)
BC
Issued 01/13/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2016
Series 31 - Futures Managed Funds Examination
BC
Issued 04/30/2012
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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