Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Lopez is a financial advisor in Encino, CA, with over five years of experience in the financial services industry. William is registered with Wells Fargo Clearing Services, LLC, and holds Series 6, 7, 63, and 66 securities licenses. William offers financial planning, investment management, and portfolio management services to individuals and businesses. William previously worked at LPL Financial LLC and Wells Fargo Clearing Services, LLC, and has a strong track record of success.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
CA
06/05/2024 - Present
Wells Fargo Clearing Services, LLC (ENCINO CA)
CA
07/12/2023 - 05/20/2024
LPL FINANCIAL LLC (VALENCIA CA)
CA
11/05/2021 - 05/08/2023
WELLS FARGO CLEARING SERVICES, LLC (NORTHRIDGE CA)
CA
08/03/2018 - 05/27/2021
WELLS FARGO CLEARING SERVICES, LLC (NORTHRIDGE CA)
BOTH
Issued 12/02/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/13/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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