Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Lopez is a financial advisor who has been in the industry since 2007. Steven is currently registered with Fidelity Personal And Workplace Advisors. Steven has a total of 14 state securities registrations and 2 investment advisor registrations. Steven has passed the Series 63, 66, 7 and 8 exams. Steven is also a Certified Financial Planner. Previous employers include TD Ameritrade, Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., ROBERTSON, STEPHENS & COMPANY, L.P., CHARLES SCHWAB & CO., INC. and F.N. WOLF & CO., INC..
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.
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.
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
CA
06/25/2020 - Present
Fidelity Personal AND Workplace Advisors (RANCHO CUCAMONGA CA)
CA
07/02/2013 - 05/30/2020
TD AMERITRADE, INC. (PASADENA CA)
MA
07/12/1999 - 09/29/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
07/19/1995 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
CA
06/25/1993 - 03/14/1994
ROBERTSON, STEPHENS & COMPANY, L.P. (SAN FRANCISCO CA)
TX
07/01/1992 - 06/08/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NA
08/26/1991 - 09/09/1991
F.N. WOLF & CO., INC.
BOTH
Issued 07/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
Not sure Steven Lopez is the right advisor for you? Invested Better is here to help.
