Oscar Lopes
Professional summary
Oscar Lopes, who also goes by Ocar D Lopes, Oscar D Lopes, Oscar Daniel Lopes, is a registered financial professional currently at BRADESCO SECURITIES, INC. located in New York, New York.
Oscar is registered as a RR (Registered Representative) and started their career in finance in 1992. Oscar has worked at 10 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Oscar Lopes's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2026 - Present
BRADESCO SECURITIES, INC.
Office #1: 450 Park Avenue 32nd Floor, New York, NY 10022October 29, 2024 - October 8, 2025
UBS SECURITIES LLC
May 10, 2017 - May 30, 2025
CREDIT SUISSE SECURITIES (USA) LLC
August 30, 2010 - April 27, 2017
BBVA SECURITIES INC.
January 14, 2010 - September 28, 2010
ROPEMAKER CAPITAL, LLC
March 18, 2009 - January 30, 2010
BANIF FINANCIAL SERVICES, INC.
March 9, 1998 - December 31, 1998
BRI SECURITIES, INC.
August 12, 1994 - December 12, 1995
J.P. MORGAN SECURITIES LLC
April 7, 1993 - May 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 1992 - March 16, 1993
LEHMAN BROTHERS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
BRADESCO SECURITIES, INC.
CRD#: 104347 / SEC#: , 8-52806
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO BRADESCO S.A. | SOLE SHAREHOLDER OF APPLICANT'S COMMON STOCK | |
| BEHAR, ISABELA MARTA | CHIEF COMPLIANCE OFFICER | 2940509 |
| BOETGER, BRUNO D'AVILA MELO | CHAIRMAN OF THE BOARD OF DIRECTORS | 2505487 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| MARQUES, RUI MIGUEL ALEIXO | VICE-CHAIRMAN OF THE BOARD OF DIRECTORS | 7304773 |
| PORTNOFF, DAVID ROSS | FINANCIAL AND OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 2977967 |
| REITZFELD, FERNANDO RAIZ | CHIEF EXECUTIVE OFFICER / MEMBER OF THE BOARD OF DIRECTORS | 7514819 |
Red Flags
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