Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristen? Claim Your ProfileKristen Lopez is a financial advisor with over 10 years of experience in the industry. She is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and has a strong track record of success in providing investment advice to individuals, families, and businesses. Kristen specializes in portfolio management, financial planning, and pension consulting. She is committed to providing her clients with personalized service and helping them achieve their financial goals. Kristen has held previous roles at Farmers Financial Solutions, LLC, Morgan Stanley, and Financial West Group.
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
CA
09/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WESTLAKE VILLAGE CA)
CA
05/08/2015 - 08/17/2018
FARMERS FINANCIAL SOLUTIONS, LLC (AGOURA HILLS CA)
CA
09/06/2013 - 05/05/2015
MORGAN STANLEY (WESTLAKE VILLAGE CA)
CA
08/24/2010 - 08/27/2013
FINANCIAL WEST GROUP (WESTLAKE VILLAGE CA)
CA
09/23/2008 - 08/18/2010
PLANMEMBER SECURITIES CORPORATION (CARPINTERIA CA)
IA
Issued 03/08/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/08/2011
Series 4 - Registered Options Principal Examination
BC
Issued 03/07/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/12/2010
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 07/28/2009
Series 7 - General Securities Representative Examination
BC
Issued 09/22/2008
Series 6 - Investment Company Products/Variable Contracts 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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