Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven C. Lopez is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Steven has been in the securities industry since September 1997 and has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 2009. Steven is licensed to provide investment advisory services in Illinois and Texas. Steven holds the Series 63, 65, 7, and 52 securities licenses. Steven also holds the SIE exam.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
04/11/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHICAGO IL)
NY
04/17/2000 - 04/14/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MI
09/19/1997 - 04/10/2000
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 04/29/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/18/1997
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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