Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Thomas Lopez is a financial advisor with over 18 years of experience in the financial industry. Scott has a broad range of experience having worked with AXA Advisors, LLC and ADP Broker-Dealer, Inc. Scott holds a Series 63, Series 65, Series 7 and Series 6TO license. Scott is currently registered with ADP Broker-Dealer, Inc. in 52 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
KY
09/17/2015 - Present
ADP Broker-Dealer, Inc. (LOUISVILLE KY)
NJ
08/30/2005 - 09/10/2014
ADP BROKER-DEALER, INC. (ROSELAND NJ)
NY
05/14/2004 - 08/23/2005
AXA ADVISORS, LLC (NEW YORK NY)
IA
Issued 09/29/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/13/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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