Roberto A. 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.
Roberto Alexander Lopez was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 1985. Roberto had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2022 - October 27, 2023
CHELSEA FINANCIAL SERVICES
October 30, 2013 - March 2, 2020
PLANMEMBER SECURITIES CORPORATION
February 11, 2011 - June 10, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 10, 2011 - June 10, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2009 - June 17, 2010
LPL FINANCIAL LLC
September 9, 2009 - June 17, 2010
LPL FINANCIAL LLC
January 13, 2006 - September 1, 2009
U.S. BANCORP INVESTMENTS, INC.
April 11, 2002 - September 1, 2009
U.S. BANCORP INVESTMENTS, INC.
March 7, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1997 - March 19, 2002
WAMU INVESTMENTS, INC.
October 30, 1995 - July 14, 1997
ASB FINANCIAL SERVICES
December 20, 1994 - October 6, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 25, 1993 - July 6, 1994
WELLS FARGO SECURITIES INC.
June 2, 1992 - June 24, 1992
BA INVESTMENT SERVICES, INC.
May 28, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
May 30, 1991 - June 6, 1992
CAPITAL BROKERAGE CORPORATION
January 13, 1990 - January 22, 1991
GRIFFIN FINANCIAL SERVICES
February 11, 1988 - November 10, 1989
MORGAN STANLEY DW INC.
November 20, 1985 - January 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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