Paul 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.
Paul Lopez was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2001. Paul had worked at 7 firms and has passed the Series 63, Series 79TO, SIE 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
August 1, 2022 - July 24, 2025
ZENITH SECURITIES LLC
April 30, 2020 - June 22, 2022
FDX CAPITAL LLC
February 4, 2019 - April 22, 2020
ZENITH SECURITIES LLC
June 17, 2015 - February 5, 2019
FDX CAPITAL LLC
April 9, 2012 - June 5, 2015
IMPERIAL CAPITAL, LLC
December 9, 2009 - November 21, 2011
FURTHER LANE SECURITIES, L.P.
June 2, 2006 - January 8, 2009
COWEN SECURITIES LLC
December 14, 2001 - October 11, 2004
CITIGROUP GLOBAL MARKETS INC.
June 20, 2001 - August 10, 2001
CIBC WORLD MARKETS CORP.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ZENITH SECURITIES LLC
CRD#: 138135 / SEC#: , 8-67146
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
