Robert N. Lopinto
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Nmi Lopinto, who also goes by Bob Lopinto, Robert Lopinto, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1999 - February 7, 2017
TRICAPITAL ADVISORS INC
January 7, 1997 - January 9, 2004
TRICAPITAL CORPORATION
June 29, 1993 - December 31, 1995
ENERIC FINANCIAL SERVICES, INC.
June 16, 1993 - August 17, 1993
R.D. WHITE & CO., INC.
October 9, 1991 - April 2, 1993
WILLIAM & CO. CAPITAL MARKETS LTD.
April 23, 1990 - September 24, 1991
ENERIC FINANCIAL SERVICES, INC.
October 11, 1988 - March 13, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1988 - March 13, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - October 5, 1988
LEHMAN BROTHERS INC.
May 24, 1982 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRICAPITAL ADVISORS INC
CRD#: 109224 / SEC#: 801-55933
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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