Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Willie? Claim Your ProfileWillie Lopez is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Willie has been in the industry since August 26, 2019. Willie's office is located in Santa Clarita, CA, and Willie also services clients in Alhambra, CA, and across the United States. Willie is registered to provide investment advisory services in California and Texas. Willie has a Series 66, Series 10, Series 9, Series 7TO, and SIE licenses. Willie is a registered investment advisor representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and is a registered representative of Merrill Lynch, Pierce, Fenner & Smith 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.
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
CA
01/06/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA CLARITA CA)
BOTH
Issued 09/26/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/13/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/08/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/27/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/22/2019
SIE - Securities Industry Essentials 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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