Joanna 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.
Joanna Lopez, who also goes by Joanna Galarza, was a registered financial professional .
Joanna is a previously registered financial professional and started their career in finance in 1988. Joanna had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2017 - August 3, 2026
SUMMIT TRAIL SECURITIES, LLC
October 12, 2015 - August 16, 2016
PURSHE KAPLAN STERLING INVESTMENTS
September 22, 2008 - October 22, 2015
BARCLAYS CAPITAL INC.
April 17, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
April 27, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
March 8, 2005 - April 11, 2006
DEUTSCHE BANK SECURITIES INC.
March 23, 2001 - December 9, 2004
COMMERZBANK CAPITAL MARKETS CORP.
June 28, 1994 - March 8, 2001
J.P. MORGAN SECURITIES LLC
July 27, 1988 - January 20, 1990
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
What does exam status mean?
Current Firm
SUMMIT TRAIL SECURITIES, LLC
CRD#: 285784 / SEC#: , 8-69859
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
