Ricardo 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.
Ricardo Anibal Lopez, who also goes by Ricardo A Lopez, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1994. Ricardo had worked at 10 firms and has passed the Series 65, Series 63, Series 7 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
January 3, 2011 - August 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - August 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 3, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 30, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 4, 2009 - November 4, 2009
NYLIFE SECURITIES LLC
September 21, 2005 - October 31, 2008
WAMU INVESTMENTS, INC.
September 21, 2005 - October 31, 2008
WAMU INVESTMENTS, INC.
April 15, 2004 - May 25, 2005
CITICORP INVESTMENT SERVICES
April 15, 2004 - May 25, 2005
CITICORP INVESTMENT SERVICES
August 4, 2003 - April 12, 2004
U.S. BANCORP ADVISORS, LLC
April 6, 2001 - April 12, 2004
U.S. BANCORP ADVISORS, LLC
September 29, 2000 - April 3, 2001
CAL FED INVESTMENTS
July 11, 1997 - September 21, 2000
U.S. BANCORP ADVISORS, LLC
February 21, 1997 - July 1, 1997
GRIFFIN FINANCIAL SERVICES
August 18, 1995 - February 18, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 27, 1994 - July 13, 1995
FIMCO SECURITIES GROUP, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
