Mark A. Lopez
Professional summary
Mark Anthony Lopez was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Mark had worked at 3 firms, which includes ASHTON CAPITAL MANAGEMENT INC., AMERICAN PACIFIC SECURITIES INC., EQUITY PROGRAMS CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2001 - November 17, 2008
ASHTON CAPITAL MANAGEMENT, INC.
July 22, 1996 - December 20, 2001
AMERICAN PACIFIC SECURITIES, INC.
March 28, 1995 - July 16, 1996
EQUITY PROGRAMS CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
ASHTON CAPITAL MANAGEMENT, INC.
CRD#: 26502 / SEC#: , 8-42245
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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