Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lopez is a financial professional with experience in the securities industry. Richard has passed the Securities Industry Essentials (SIE) and Series 99 exams. Richard is currently registered with Rabo Securities USA, Inc. Richard was previously registered with J.P. Morgan Securities LLC.
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
04/17/2019 - Present
Rabo Securities USA, Inc. (NEW YORK NY)
NY
03/03/2018 - 04/03/2019
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2018
Series 99 - Operations Professional Examination
Active
Inactive
F
FINRA
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