David F. Lopez
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.
David Francis Lopez, who also goes by David F Lopez, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 7, Series 6 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
July 11, 2011 - September 21, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 30, 2010 - December 8, 2010
MSI FINANCIAL SERVICES, INC.
March 12, 2008 - February 19, 2009
CETERA INVESTMENT SERVICES LLC
November 21, 2007 - February 19, 2009
BANCNORTH INVESTMENT GROUP, INC.
March 12, 2007 - November 20, 2007
BANCNORTH INVESTMENT GROUP, INC.
June 28, 2001 - March 29, 2006
CITIZENS SECURITIES, INC.
November 6, 1998 - March 8, 2000
DEAM INVESTOR SERVICES, INC.
December 2, 1996 - August 20, 1998
FIS SECURITIES, INC.
June 28, 1995 - October 31, 1996
BANKBOSTON INVESTOR SERVICES, INC.
June 20, 1994 - May 16, 1995
INVEST FINANCIAL CORPORATION
January 24, 1990 - April 7, 1994
IFMG SECURITIES, INC.
June 21, 1985 - February 6, 1990
MORGAN STANLEY DW INC.
August 21, 1984 - May 21, 1985
GAGE-WILEY & CO., 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
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
