Nydia Lopez Garcia Vega

HUNTLEIGH SECURITIES

St. Louis, MO 63105

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CRD#: 1216315

Professional summary

Nydia Lopez Garcia Vega, who also goes by Lily Vega, Nydia Lopez Vega, Nydia Vega, is a registered financial professional currently at HUNTLEIGH SECURITIES CORPORATION located in St. Louis, Missouri.

Nydia is registered as a RR (Registered Representative) and started their career in finance in 1983. Nydia has worked at 8 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lily Vega | Nydia Lopez Vega | Nydia Vega

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 Nydia Lopez Garcia Vega's CRS (Customer Relationship Summary).

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

August 1, 2016 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

CRD#: 7456

St. Louis, MO

Past

June 2, 2004 - July 28, 2016

FAIRBRIDGE CAPITAL MARKETS

CRD#: 103818

GUAYNABO, PR

Past

September 9, 1996 - June 5, 2003

DORAL SECURITIES, INC.

CRD#: 40944

PUERTO NUEVO, PR

Past

March 8, 1995 - April 24, 1996

BANKERS TRUST CARIBE CAPITAL MARKETS, INC.

CRD#: 26702

Past

September 3, 1986 - February 21, 1995

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Past

July 18, 1986 - February 21, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 20, 1984 - April 10, 1987

DEAN WITTER PUERTO RICO INC.

CRD#: 14805

Past

November 22, 1983 - July 12, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

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

New Jersey
(11/14/2017)

New York
(8/1/2016)

Puerto Rico
(8/1/2016)

Exams

State Security Law Exam

Series 63

Date: 3/7/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH SECURITIES CORPORATION

HUNTLEIGH SECURITIES CORPORATION | KRENTZ, MEYER & MCCLELLAN INVESTMENT CORPORATION

CRD#: 7456 / SEC#: , 8-21893

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Phone number

(314) 236-2400

Established

Missouri since 05/12/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CHAMBERS, ROBERT LEWIS	PRESIDENT/DIRECTOR/OWNER	1231649
GAO CONSULTING, LLC	OWNER
CHAMBERS, ROBERT BARRETT	DIRECTOR	6963634
LEOPOLD, MICHAEL WARREN	DIRECTOR	306991
MARSHALL, CATHERINE TERRY	CCO/DIRECTOR/CORPORATE SECRETARY	1445205
O'CONNELL, CHRISTOPHER CORY	DIRECTOR	5008251
OVERSCHMIDT, GREG ALFRED	DIRECTOR	1160877
THOMAS, KAREN LEE	CHIEF OPERATIONS OFFICER AND FIN/OP	1970467

Disclosures

Regulatory Event	7
Arbitration	1

Red Flags

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Nydia Lopez Garcia Vega

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nydia Lopez Garcia Vega's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAIRBRIDGE CAPITAL MARKETS

DORAL SECURITIES, INC.

BANKERS TRUST CARIBE CAPITAL MARKETS, INC.

POPULAR SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

DEAN WITTER PUERTO RICO INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/7/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

FINRA

Current Firm

HUNTLEIGH SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HUNTLEIGH SECURITIES CORPORATION

TRUST BUT VERIFY

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