Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mario? Claim Your ProfileMario Lopez is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Mario has been in the industry since 2008 and has a wide range of experience in the financial services industry. Mario holds a Series 7, 10, 9, 63, and 65 license. Mario has been registered with the state of Texas and has offices in EL PASO, TX. In addition to his financial services experience, Mario also owns and operates a martial arts school.
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
TX
06/10/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EL PASO TX)
MA
09/17/2008 - 05/11/2009
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
BC
Issued 07/01/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/02/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/16/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2008
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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