EL
Eduardo T. Lopez
SYNOVUS SECURITIES
Columbus, GA 31909
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CRD#: 4030522
EL
Professional summary
Eduardo Tomas Lopez, who also goes by Eddie Lopez, Eduardo T Lopez, Eduardo T Lopez-riefkohl, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Columbus, Georgia.
Eduardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Eduardo has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eddie Lopez | Eduardo T Lopez | Eduardo T Lopez-Riefkohl
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
ET LOPEZ, 7526 PINTAIL DRIVE MIDLAND, GA 31820, NOVEL WRITER, 40 HOURS PER MONTH, 0 HOURS SPENT DURING TRADING HOURS, NON-INVESTMENT RELATED, AUGUST 2021, STARTED WRITING NOVEL IN THE SCI FI/FANTASY CATEGORY JUST BEFORE EMPLOYMENT BEGAN AT SYNOVUS. ALMOST FINISHED WITH THE EDITING PROCESS AND WOULD LIKE TO PUBLISH NOVEL. CURRENTLY PLANNING TO SELF PUBLISH ONLINE WITH AMAZON, APPLE AND GOOGLE PLATFORMS UNDER THE NAME OF ET LOPEZ. NOVEL HAS NOTHING TO DO WITH BANKING OR SECURITIES IN ANYWAY. ACCORDING TO AMAZON, APPLE AND GOOGLE, I WILL RECEIVE APPROXIMATELY 35% OF THE REVENUE GENERATED FROM SALES OF NOVEL.
CRS (Client Relationship Summary) - RIA
Click below to view Eduardo Tomas Lopez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eduardo Tomas Lopez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 9, 2021 - Present
SYNOVUS SECURITIES, INC.
Office #1: 6401 Whittlesey Blvd, Columbus, GA 31909RIA
BD
CRD#: 14023
Columbus, GA
Current
August 5, 2021 - Present
SYNOVUS SECURITIES, INC.
Office #1: 6401 Whittlesey Blvd, Columbus, GA 31909RIA
BD
CRD#: 14023
Columbus, GA
Past
December 10, 2013 - August 3, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLUMBUS, GA
Past
November 26, 2013 - August 3, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COLUMBUS, GA
Past
February 13, 2012 - August 16, 2013
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
October 28, 2005 - January 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NORCROSS, GA
Past
May 8, 2003 - May 19, 2005
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
June 6, 2001 - April 24, 2003
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
October 4, 1999 - April 6, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 4, 1999 - April 6, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(8/5/2021)
IAR
Georgia(8/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
Company Information
SYNOVUS SECURITIES, INC.
CRD#: 14023Columbus, GA 31909TRUST BUT VERIFY
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