Diego 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.
Diego Lopez was a registered financial professional .
Diego is a previously registered financial professional and started their career in finance in 1992. Diego had worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2012 - July 20, 2022
LANTERN WEALTH ADVISORS, LLC
November 10, 2004 - July 20, 2022
HEROLD & LANTERN INVESTMENTS, INC.
January 15, 1998 - November 1, 2002
DIRKS & COMPANY, INC.
May 6, 1997 - January 15, 1998
LCP CAPITAL CORP.
April 26, 1996 - October 22, 1996
PROGRAM TRADING CORP.
May 19, 1995 - August 17, 1995
MOMENTUM INDEPENDENT NETWORK INC.
November 10, 1994 - April 28, 1995
SMITH, BENTON & HUGHES, INC.
June 17, 1993 - November 8, 1994
INVESTORS ASSOCIATES, INC.
November 17, 1992 - July 29, 1993
MELBOURNE GSI CORP.
Primary Firm SEC Registration
LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/17/1999
Limited Representative-Equity Trader ExamCurrent Firm
LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 265,466,991 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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