Christopher D. Lopez
Professional summary
Christopher David Lopez, CIMA®, who also goes by Christopher Lopez, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Tampa, Florida.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher David Lopez's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2017 - Present
FORESIDE FUND SERVICES, LLC
February 15, 2012 - January 10, 2017
FIDELITY DISTRIBUTORS COMPANY LLC
May 11, 2010 - January 18, 2012
PUTNAM INVESTMENT MANAGEMENT, LLC
May 10, 2010 - January 18, 2012
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 14, 2006 - May 5, 2010
NUVEEN FUND ADVISORS, LLC
January 19, 2006 - May 5, 2010
NUVEEN SECURITIES, LLC
July 10, 2002 - January 5, 2006
TCW INVESTMENT MANAGEMENT COMPANY LLC
January 10, 2001 - January 17, 2006
TCW FUNDS DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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