Enrique J. Lopez-balboa

ALPS DISTRIBUTORS

Stamford, CT 06901

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CRD#: 1075108

Professional summary

Enrique Jose Manuel Lopez-balboa II, who also goes by Enrique Jose Manuel Lopezbalboa II, Enrique Jose Manuel Lopezbalboa, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Stamford, Connecticut.

Enrique is registered as a RR (Registered Representative) and started their career in finance in 1986. Enrique has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Enrique Jose Manuel Lopezbalboa Ii | Enrique Jose Manuel Lopezbalboa

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Enrique Jose Manuel Lopez-balboa II's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 3, 2014 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 680 Washington Blvd. 11th Floor, Stamford, CT 06901

CRD#: 16853

Stamford, CT

Past

April 1, 2010 - September 13, 2013

JEFFERIES LLC

CRD#: 2347

STAMFORD, CT

Past

July 29, 2002 - April 7, 2009

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

September 25, 2000 - April 7, 2009

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

December 21, 1999 - August 9, 2000

CARNES CAPITAL CORPORATION

CRD#: 16187

NAPLES, FL

Past

August 20, 1996 - April 6, 1999

LYNCH & MAYER SECURITIES CORP.

CRD#: 14659

NEW YORK, NY

Past

October 19, 1995 - July 25, 1996

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

November 19, 1989 - July 26, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 8, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 21, 1986 - September 28, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/3/2014)

Alaska
(11/3/2014)

Arizona
(11/3/2014)

Arkansas
(11/3/2014)

California
(11/3/2014)

Colorado
(11/3/2014)

Connecticut
(11/3/2014)

Delaware
(11/3/2014)

District of Columbia
(11/3/2014)

Florida
(11/3/2014)

Georgia
(11/3/2014)

Hawaii
(11/3/2014)

Idaho
(11/3/2014)

Illinois
(11/3/2014)

Indiana
(11/3/2014)

Iowa
(11/3/2014)

Kansas
(11/3/2014)

Kentucky
(11/3/2014)

Louisiana
(11/3/2014)

Maine
(11/3/2014)

Maryland
(11/3/2014)

Massachusetts
(11/3/2014)

Michigan
(11/3/2014)

Minnesota
(11/3/2014)

Mississippi
(11/3/2014)

Missouri
(11/3/2014)

Montana
(11/3/2014)

Nebraska
(11/3/2014)

Nevada
(11/3/2014)

New Hampshire
(11/3/2014)

New Jersey
(11/3/2014)

New Mexico
(11/3/2014)

New York
(11/3/2014)

North Carolina
(11/3/2014)

North Dakota
(11/3/2014)

Ohio
(11/3/2014)

Oklahoma
(11/3/2014)

Oregon
(11/3/2014)

Pennsylvania
(11/3/2014)

Puerto Rico
(11/3/2014)

Rhode Island
(11/3/2014)

South Carolina
(11/3/2014)

South Dakota
(11/3/2014)

Tennessee
(11/3/2014)

Texas
(11/3/2014)

Utah
(11/3/2014)

Vermont
(11/3/2014)

Virgin Islands
(11/3/2014)

Virginia
(11/3/2014)

Washington
(11/3/2014)

West Virginia
(11/3/2014)

Wisconsin
(11/3/2014)

Wyoming
(11/3/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/8/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Enrique J. Lopez-balboa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Enrique Jose Manuel Lopez-balboa II's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

CARNES CAPITAL CORPORATION

LYNCH & MAYER SECURITIES CORP.

COREBRIDGE CAPITAL SERVICES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/1996

Series 63

Date: 11/26/1986

SIE

Date: 10/1/2018

Series 3

Date: 9/8/2010

Series 7

Date: 1/18/1986

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

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