Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Damon Lopez is a financial professional with over 20 years of experience in the industry. Todd has a broad range of experience, having worked with firms including Goldman Sachs & Co., Goldman Sachs Execution & Clearing, L.P., UBS Financial Services Inc., and currently, UBS Securities LLC. Todd holds several licenses and registrations, including Series 3, 7, 9, 10, 24, 57TO, and SIE. Todd is registered to provide securities services in all 50 states and Puerto Rico.
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.
1
2
CT
02/25/2016 - Present
UBS Securities LLC (STAMFORD CT)
NY
02/10/2022 - 09/28/2023
UBS FINANCIAL SERVICES INC. (New York NY)
NY
04/06/2010 - 03/03/2016
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
02/08/2008 - 03/03/2016
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
01/16/2001 - 02/12/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
05/24/2002 - 11/22/2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
BC
Issued 02/26/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/09/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/10/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2002
Series 3 - National Commodity Futures Examination
BC
Issued 01/12/2001
Series 7 - General Securities 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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