Elvin J. Lopez
Professional summary
Elvin J Lopez was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Elvin J Lopez, who also goes by Elvin Lopez, was a registered financial professional .
Elvin is a previously registered financial professional and started their career in finance in 1999. Elvin had worked at 9 firms and has passed the 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
November 4, 2016 - November 17, 2017
WORDEN CAPITAL MANAGEMENT LLC
June 28, 2012 - November 9, 2016
LEGEND SECURITIES, INC.
February 7, 2011 - June 21, 2012
BROOKSTONE SECURITIES, INC.
April 18, 2008 - June 5, 2009
THINKEQUITY LLC
July 12, 2006 - April 15, 2008
JOSEPH STEVENS & CO., INC.
February 16, 2006 - July 5, 2006
WESTROCK ADVISORS, INC.
November 22, 2005 - January 20, 2006
NATIONAL SECURITIES CORPORATION
July 8, 2004 - December 9, 2005
JOSEPH STEVENS & CO., INC.
November 20, 2002 - July 14, 2003
LADENBURG THALMANN & CO. INC.
December 17, 1999 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Exams
Current Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
Red Flags
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