Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Anthony Lopez is a registered representative with Tradition Securities And Derivatives LLC in New York, New York. William has been in the securities industry since March 24, 1996. William has passed the Series 63, Series 7 and SIE exams. William is registered in New York. William has previously worked with TFS DERIVATIVES CORPORATION, PRUDENTIAL SECURITIES INCORPORATED, and GKN SECURITIES CORP.
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
NY
03/31/2016 - Present
Tradition Securities AND Derivatives LLC (New York NY)
NY
10/22/1996 - 04/25/2016
TFS DERIVATIVES CORPORATION (NEW YORK NY)
NY
02/06/1996 - 08/02/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/05/1996 - 02/21/1996
GKN SECURITIES CORP. (NEW YORK NY)
BC
Issued 01/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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