Jonathon D. 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.
Jonathon Doherty Lopez, who also goes by Jonathan D Lopez, was a registered financial professional .
Jonathon is a previously registered financial professional and started their career in finance in 1998. Jonathon had worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2012 - March 8, 2022
THE VERTICAL GROUP
May 5, 2010 - December 17, 2012
SARATOGA CAPITAL MARKETS
June 14, 1999 - February 28, 2001
DEUTSCHE BANK SECURITIES INC.
December 10, 1998 - June 14, 1999
DB ALEX. BROWN LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
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.
