Marisa 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.
Marisa Lopez, who also goes by Marisa Aguilera, Marisa Cox Vazquez, Marisa Cox-vazquez, was a registered financial professional .
Marisa is a previously registered financial professional and started their career in finance in 2001. Marisa had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2014 - February 5, 2015
MML DISTRIBUTORS, LLC
April 15, 2010 - September 24, 2012
AMERICAN FIDELITY SECURITIES, INC.
June 9, 2008 - March 9, 2010
ALLSTATE FINANCIAL SERVICES, LLC
August 24, 2006 - June 11, 2007
FARMERS FINANCIAL SOLUTIONS, LLC
April 4, 2006 - July 5, 2006
ZIONS DIRECT, INC.
April 4, 2006 - July 5, 2006
ZIONS DIRECT, INC.
August 3, 2004 - November 3, 2005
CITICORP INVESTMENT SERVICES
July 21, 2004 - November 3, 2005
CITICORP INVESTMENT SERVICES
June 14, 2002 - July 2, 2004
STATE FARM VP MANAGEMENT CORP.
February 14, 2001 - May 3, 2002
WELLS FARGO INVESTMENTS, LLC
January 1, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
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
Current Firm
MML DISTRIBUTORS, LLC
CRD#: 38030 / SEC#: , 8-48203
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| MASSMUTUAL HOLDING LLC | MEMBER | |
| PUHALA, JAMES | CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| STEELE, DOUGLAS ROBERT | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 5026710 |
Disclosures
| Regulatory Event | 3 |
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.
