Derek Lopez
Professional summary
Derek Lopez was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Derek is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Derek had worked at 7 firms, which includes NEWPORT COAST SECURITIES INC., B. RILEY WEALTH ADVISORS INC., NATIONAL SECURITIES CORPORATION, BROOKSTREET SECURITIES CORPORATION, AVANTAX ADVISORY SERVICES, AVANTAX INVESTMENT SERVICES INC., MML INVESTORS SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2009 - December 3, 2010
NEWPORT COAST SECURITIES, INC.
July 31, 2009 - December 3, 2010
NEWPORT COAST SECURITIES, INC.
July 6, 2007 - December 23, 2009
B. RILEY WEALTH ADVISORS, INC.
June 28, 2007 - August 19, 2009
NATIONAL SECURITIES CORPORATION
July 17, 2003 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
April 3, 2003 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
January 31, 2003 - April 29, 2003
AVANTAX ADVISORY SERVICES
November 25, 2002 - April 8, 2003
AVANTAX INVESTMENT SERVICES, INC.
November 23, 1998 - December 20, 2002
MML INVESTORS SERVICES, LLC
February 25, 1993 - December 20, 2002
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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