Mark J. 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.
Mark Jason Lopez, who also goes by Jason Lopez, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1999. Mark had worked at 9 firms and has passed the Series 65, Series 63, 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 4, 2014 - August 28, 2015
ATEL SECURITIES CORPORATION
November 5, 2012 - August 21, 2014
LPL FINANCIAL LLC
October 1, 2012 - August 21, 2014
LPL FINANCIAL LLC
October 5, 2009 - May 2, 2012
MACQUARIE CAPITAL (USA) INC.
April 8, 2008 - May 27, 2009
RIVERSOURCE DISTRIBUTORS, INC.
November 17, 2004 - March 26, 2008
CION SECURITIES, LLC
May 25, 2004 - November 11, 2004
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
November 2, 2001 - March 31, 2004
PACIFIC SELECT DISTRIBUTORS, LLC
March 19, 2001 - August 22, 2001
QUICK & REILLY, INC.
September 16, 1999 - February 6, 2001
WELLS FARGO SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ATEL SECURITIES CORPORATION
CRD#: 17229 / SEC#: , 8-35271
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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