Robert A. Lopes
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.
Robert Anthony Lopes was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 8 firms and has passed the SIE, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2011 - August 4, 2015
TERRA CAPITAL MARKETS LLC
April 5, 2007 - June 6, 2011
LIGHTSTONE SECURITIES, LLC
April 8, 2002 - March 13, 2007
UBS SERVICES USA LLC
June 19, 1990 - March 13, 2007
UBS FINANCIAL SERVICES INC.
May 3, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
April 11, 1983 - February 20, 1990
LEHMAN BROTHERS INC.
September 26, 1978 - April 25, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Exams
Series 000
Date: 10/5/1972
General Securities Principal ExaminationSeries 1
Date: 10/4/1972
Registered Representative ExaminationCurrent Firm
TERRA CAPITAL MARKETS LLC
CRD#: 123762 / SEC#: , 8-65611
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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