Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond Lopez is a financial advisor at LPL Financial LLC, a firm that manages over $50 billion in assets and has over 1.6 million client accounts. Raymond has been in the industry since 2009 and is registered with the state of California as both a Broker-Dealer and an Investment Advisor Representative. Raymond provides financial planning, portfolio management, and investment advisory services to individuals, businesses, and charitable organizations. He has experience working with a wide range of clients, including high-net-worth individuals, corporations, and pension plans. He is also licensed to sell insurance products and provides consulting and other non-discretionary advisory services.
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.
Consulting and other non-discretionary advisory services
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
10/20/2020 - Present
LPL Financial LLC (FRESNO CA)
CA
07/29/2013 - 10/21/2020
EDWARD JONES (CLOVIS CA)
CA
06/24/2011 - 12/12/2012
EDWARD JONES (CLOVIS CA)
NY
05/10/2011 - 06/27/2011
WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)
NA
06/21/1991 - 09/09/1993
PRUCO SECURITIES CORPORATION
NA
06/21/1991 - 09/09/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BOTH
Issued 07/08/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/12/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/19/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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