Louis J. Lopes
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.
Louis John Lopes was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1986. Louis had worked at 4 firms and has passed the Series 65, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 1998 - July 1, 2014
QUEST CAPITAL STRATEGIES, INC.
June 11, 1992 - August 4, 1998
ROBERT W. BAIRD & CO. INCORPORATED
April 11, 1990 - December 31, 1991
ROBERT W. BAIRD & CO. INCORPORATED
April 11, 1990 - August 4, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 26, 1986 - March 13, 1990
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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