Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mauricio? Claim Your ProfileMauricio Lopez is a registered representative with Smbc Nikko Securities America, Inc., based in the New York, NY office. Mauricio has been in the securities industry since December 12, 1994, and has held previous positions at firms including Stonex Financial Inc., Amherst Pierpont, Haitong Securities USA LLC, Jefferies LLC, and Bear, Stearns & Co. Inc. Mauricio is registered in 51 states and the District of Columbia.
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
NY
01/13/2023 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
06/15/2022 - 01/05/2023
STONEX FINANCIAL INC. (NEW YORK NY)
NY
08/29/2018 - 05/02/2022
AMHERST PIERPONT (NEW YORK NY)
NY
09/28/2016 - 08/27/2018
HAITONG SECURITIES USA LLC (New York NY)
NY
07/21/2008 - 05/03/2016
JEFFERIES LLC (NEW YORK NY)
NY
04/25/1994 - 06/16/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 09/26/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
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NYSE Arca, Inc.
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