Carlos G. Lopez

JOHN HANCOCK DISTRIBUTORS LLC

Boston, MA 02116

Some features on this profile are disabled

CRD#: 4139962

Professional summary

Carlos Gerardo Lopez, who also goes by Carlos G. Lopez, Jerry Lopez, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2000. Carlos has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos G. Lopez | Jerry Lopez

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Gerardo 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®

None

Experience

Current

February 17, 2016 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116

CRD#: 5249

Boston, MA

Past

November 8, 2011 - December 3, 2015

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

HOUSTON, TX

Past

October 26, 2011 - December 3, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

HOUSTON, TX

Past

January 13, 2009 - September 13, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

AUSTIN, TX

Past

January 13, 2009 - September 13, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

AUSTIN, TX

Past

April 26, 2004 - December 31, 2008

401(K) INVESTMENT SERVICES, INC.

CRD#: 31150

AUSTIN, TX

Past

December 18, 2000 - July 3, 2002

401(K) INVESTMENT SERVICES, INC.

CRD#: 31150

AUSTIN, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(10/14/2020)

North Carolina
(7/23/2025)

Texas
(2/17/2016)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/13/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/15/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC | MANULIFE FINANCIAL SECURITIES LLC | MANEQUITY, INC.

CRD#: 5249 / SEC#: , 8-15826

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Berkeley Street, Boston, MA 02116

Mailing Address

200 Berkeley Street, Boston, MA 02116

Phone number

(617) 663-3021

Established

Delaware since 08/01/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)	OWNER
BOGLE, JAMES WILLIAM	PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL	7344902
HARTIGAN, ROBERT JOSEPH	CHIEF COMPLIANCE OFFICER	2931786
LANNIGAN, TRACY KANE	VICE PRESIDENT & CORPORATE SECRETARY	6944688
SILVA, ANTHONY ALEX	DIRECTOR	7755954
TANKERSLEY, GARY LYNN	PRESIDENT & CHIEF EXECUTIVE OFFICER	2637199
WALKER, CHRISTOPHER MICHAEL	VICE PRESIDENT, INVESTMENTS & DIRECTOR	4302554

Disclosures

Regulatory Event	3
Arbitration	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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carlos G. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Gerardo Lopez's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

401(K) INVESTMENT SERVICES, INC.

401(K) INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2007

Series 63

Date: 9/14/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2005

Series 6

Date: 12/15/2000

FINRA

Current Firm

JOHN HANCOCK DISTRIBUTORS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOHN HANCOCK DISTRIBUTORS LLC

TRUST BUT VERIFY

Similar Advisors