Wilfred E. Lopez
Professional summary
Wilfred Erwin Lopez, who also goes by Wil Lopez, is a registered financial professional currently at ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado.
Wilfred is registered as a RR (Registered Representative) and started their career in finance in 1996. Wilfred has worked at 14 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wilfred Erwin Lopez's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2020 - Present
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
Office #1: 1290 Broadway Suite 1000, Denver, CO 80203January 2, 2019 - December 31, 2019
ALPS DISTRIBUTORS, INC.
October 31, 2016 - December 31, 2018
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
October 13, 2015 - October 10, 2016
PAYCHEX SECURITIES CORPORATION
May 28, 2015 - October 2, 2015
MDS SECURITIES, LLC
November 19, 2014 - March 27, 2015
PERSONAL CAPITAL ADVISORS CORPORATION
February 4, 2009 - October 28, 2014
TRANSAMERICA CAPITAL, LLC
August 13, 2008 - January 14, 2009
U.S. BANCORP INVESTMENTS, INC.
August 13, 2008 - January 14, 2009
U.S. BANCORP INVESTMENTS, INC.
January 9, 2006 - December 11, 2007
CURIAN CAPITAL, LLC
January 9, 2006 - December 11, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 2, 2005 - October 27, 2005
INVESTMENT CENTERS OF AMERICA, INC.
February 9, 2005 - October 27, 2005
CURIAN CAPITAL, LLC
May 8, 2003 - December 18, 2003
QUEST CAPITAL STRATEGIES, INC.
October 8, 2002 - April 16, 2003
MORGAN STANLEY DW INC.
September 9, 2002 - April 16, 2003
MORGAN STANLEY DW INC.
June 10, 1997 - June 20, 2002
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 5, 1996 - June 10, 1996
NICHOLS, SAFINA, LERNER & CO. INC.
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
CRD#: 144464 / SEC#: , 8-67659
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPS HOLDINGS INC. | PARENT | |
| DOLAN, DANIEL PATRICK MR. | SENIOR VP; DIRECTOR OF WEALTH MANAGEMENT | 1320273 |
| IRELAND, KEVIN J | SENIOR VP, DIRECTOR OF INSTITUTIONAL SALES | 1331960 |
| KYLLO, STEPHEN JOHN | SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER | 3204474 |
| PARSONS, ERIC T | FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER | 5215115 |
| WELLEN, ALECIA DAWN | VP, CHIEF COMPLIANCE OFFICER | 4846551 |
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.
