Esteban 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.
Esteban Lopez JR, who also goes by Steve Lopez Jr, was a registered financial professional .
Esteban is a previously registered financial professional and started their career in finance in 1999. Esteban had worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2020 - November 23, 2021
VERITY ASSET MANAGEMENT
November 16, 2020 - November 23, 2021
VERITY INVESTMENTS, INC.
May 9, 2016 - September 4, 2018
MISSIONSQUARE RETIREMENT
May 3, 2000 - September 4, 2018
MISSIONSQUARE INVESTMENT SERVICES
July 30, 1999 - March 31, 2000
U.S.-WORLDWIDE FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
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 6TO
Date: 3/27/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
Contact information
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
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.
