Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto 'tucker'? Claim Your ProfileRoberto Lopez is a financial advisor at Citigroup Global Markets Inc. Roberto has been in the financial services industry since 1996. Roberto is registered with the state of Florida as an Investment Advisor Representative. Roberto is also registered with FINRA as a Registered Representative. Roberto has a Series 6, 7, 63, and 65 licenses. Roberto has experience working with a variety of clients, including individuals, families, businesses, and institutions. Roberto's previous employers include SunTrust Investment Services, Inc., LPL Financial LLC, Morgan Keegan & Company, Inc., Colonial Brokerage, Inc., Wachovia Securities, LLC, SouthTrust Securities, LLC, Wachovia Securities, Inc., First Union Brokerage Services, Inc., EQ Financial Consultants, Inc., and The Equitable Life Assurance Society of the United States. Roberto provides a wide range of financial services, including investment advice, financial planning, and portfolio management.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
FL
10/10/2017 - Present
Citigroup Global Markets Inc. (CORAL GABLES FL)
FL
07/12/2013 - 10/05/2017
SUNTRUST INVESTMENT SERVICES, INC. (MIAMI FL)
FL
09/30/2011 - 07/26/2013
LPL FINANCIAL LLC (MIAMI FL)
FL
10/08/2009 - 10/04/2011
MORGAN KEEGAN & COMPANY, INC. (CORAL GABLES FL)
FL
04/13/2006 - 10/22/2009
COLONIAL BROKERAGE, INC. (MIAMI FL)
FL
04/23/2005 - 03/31/2006
WACHOVIA SECURITIES, LLC (PEMBROKE PINES FL)
AL
09/20/2002 - 04/23/2005
SOUTHTRUST SECURITIES, LLC (BIRMINGHAM AL)
MO
10/01/2000 - 09/19/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NC
02/09/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
11/20/1996 - 01/27/1999
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
11/20/1996 - 01/27/1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 12/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2002
Series 7 - General Securities Representative Examination
BC
Issued 11/18/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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