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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rafael? Claim Your ProfileRafael Lopez is a financial advisor with Morgan Stanley. Rafael has been in the financial industry since 1988. Rafael has been registered with Morgan Stanley since 2012. Prior to joining Morgan Stanley, Rafael was registered with Morgan Keegan & Company, Inc., UBS International Inc., UBS PaineWebber Inc., NationsBanc Securities, Inc., and Thomson McKinnon Securities Inc. Rafael holds Series 3, 7, 63, and 66 securities licenses. Rafael is licensed to offer investment advice in California, Florida, Georgia, Massachusetts, New York, North Carolina, and Texas.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
03/16/2021 - Present
Morgan Stanley (Coral Gables FL)
FL
05/08/2006 - 07/11/2012
MORGAN KEEGAN & COMPANY, INC. (CORAL GABLES FL)
NY
06/03/2002 - 05/19/2006
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
02/26/1993 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
MA
01/22/1990 - 03/03/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NJ
07/24/1989 - 02/05/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
07/20/1988 - 07/29/1989
THOMSON MCKINNON SECURITIES INC.
BOTH
Issued 10/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/29/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1988
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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