Jaime C. 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.
Jaime C Lopez, who also goes by Jaime Campos Lopez, was a registered financial advisor .
Jaime is a previously registered financial advisor and started their career in finance in 2001. Jaime had worked at 5 firms and has passed the Series 65, Series 63 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
June 23, 2009 - September 9, 2009
SUMMIT FINANCIAL GROUP INC
June 22, 2009 - September 9, 2009
SUMMIT BROKERAGE SERVICES, INC.
June 1, 2009 - June 29, 2009
MORGAN STANLEY
June 1, 2009 - June 29, 2009
MORGAN STANLEY
October 11, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 11, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 18, 2002 - October 23, 2002
UBS FINANCIAL SERVICES INC.
October 23, 2001 - October 23, 2002
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
