Armando M. Lopez
Professional summary
Armando Michael Lopez, who also goes by A Michael Lopez, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Armando is registered as a RR (Registered Representative) and started their career in finance in 1997. Armando has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Armando Michael Lopez's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017July 19, 2021 - December 9, 2024
COWEN AND COMPANY
August 2, 2012 - July 12, 2021
CITIGROUP GLOBAL MARKETS INC.
July 30, 2010 - July 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2004 - July 2, 2010
MORGAN STANLEY & CO. LLC
April 27, 1998 - May 20, 2003
MORGAN STANLEY & CO. LLC
October 8, 1997 - April 6, 1998
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/9/2024)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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