Leroy M. 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.
Leroy Michael Lopez, who also goes by Lee Lopez, Leroy M Lopez, was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1989. Leroy had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2003 - December 12, 2018
THE O.N. EQUITY SALES COMPANY
November 9, 2001 - September 22, 2003
PARK AVENUE SECURITIES LLC
February 6, 1998 - November 8, 2001
THE O.N. EQUITY SALES COMPANY
February 7, 1994 - February 4, 1998
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
February 19, 1993 - January 28, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 27, 1992 - February 18, 1993
CARILLON INVESTMENTS, INC.
April 20, 1992 - May 27, 1993
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
June 5, 1989 - October 24, 1991
CARILLON INVESTMENTS, 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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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