DL
David J. Lopez
FIDELITY BROKERAGE SERVICES LLC
Merrimack, NH 03054
Some features on this profile are disabled
CRD#: 2531663
DL
Professional summary
David J. Lopez, who also goes by David Jesus Lopez, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Merrimack, New Hampshire.
David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Jesus Lopez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David J. Lopez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 13, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Contra Way, Merrimack, NH 03054BD
CRD#: 7784
Merrimack, NH
Past
April 18, 2003 - December 15, 2021
IAM CAPITAL CORPORATION
BD
CRD#: 45034
WESTPORT, CT
Past
March 27, 2001 - July 22, 2002
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
June 29, 1998 - March 28, 2001
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
May 2, 1995 - September 2, 1997
SBC WARBURG, INC.
BD
CRD#: 23745
NEW YORK, NY
Past
October 13, 1994 - April 21, 1995
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/17/2023)
RR
Alaska(3/17/2023)
RR
Arizona(3/17/2023)
RR
Arkansas(3/17/2023)
RR
California(3/17/2023)
RR
Colorado(3/17/2023)
RR
Connecticut(3/13/2023)
RR
Delaware(3/17/2023)
RR
District of Columbia(3/17/2023)
RR
Florida(3/17/2023)
RR
Georgia(3/17/2023)
RR
Hawaii(3/17/2023)
RR
Idaho(3/17/2023)
RR
Illinois(3/17/2023)
RR
Indiana(3/17/2023)
RR
Iowa(3/17/2023)
RR
Kansas(3/17/2023)
RR
Kentucky(3/17/2023)
RR
Louisiana(3/17/2023)
RR
Maine(3/17/2023)
RR
Maryland(3/17/2023)
RR
Massachusetts(3/17/2023)
RR
Michigan(3/17/2023)
RR
Minnesota(3/17/2023)
RR
Mississippi(3/17/2023)
RR
Missouri(3/17/2023)
RR
Montana(3/17/2023)
RR
Nebraska(3/17/2023)
RR
Nevada(3/17/2023)
RR
New Hampshire(3/17/2023)
RR
New Jersey(3/17/2023)
RR
New Mexico(3/17/2023)
RR
New York(3/17/2023)
RR
North Carolina(3/17/2023)
RR
North Dakota(3/17/2023)
RR
Ohio(3/20/2023)
RR
Oklahoma(3/17/2023)
RR
Oregon(3/17/2023)
RR
Pennsylvania(3/17/2023)
RR
Puerto Rico(3/17/2023)
RR
Rhode Island(3/17/2023)
RR
South Carolina(3/17/2023)
RR
South Dakota(3/17/2023)
RR
Tennessee(3/17/2023)
RR
Texas(3/17/2023)
RR
Utah(3/17/2023)
RR
Vermont(3/17/2023)
RR
Virgin Islands(3/17/2023)
RR
Virginia(3/17/2023)
RR
Washington(3/17/2023)
RR
West Virginia(3/17/2023)
RR
Wisconsin(3/17/2023)
RR
Wyoming(3/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/29/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Merrimack, NH 03054TRUST BUT VERIFY
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