Dawn M. Lopez
Professional summary
Dawn M Lopez is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in New York, New York and VCS VENTURE SECURITIES located in New York, New York.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 2012. Dawn has worked at 3 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn M Lopez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2018 - Present
JOSEPH STONE CAPITAL L.L.C.
Office #1: 29 Broadway Suite 1800, New York, NY 10006September 10, 2021 - Present
VCS VENTURE SECURITIES
Office #1: 29 Broadway Suite 1502, New York, NY 10006-3201October 19, 2012 - May 14, 2018
WINDSOR STREET CAPITAL, LP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
VCS VENTURE SECURITIES
CRD#: 127921 / SEC#: , 8-66069
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEO CAPITAL MARKETS, LLC | DIRECT OWNER | |
| NEW AGE CAPITAL MANAGEMENT, LLC | DIRECT OWNER | |
| MOOD, TRAVIS ANTON MORSE | REGISTERED OPTIONS PRINCIPAL | 4745001 |
| NIXON, JON ALAN | FINOP | 4710715 |
| STALANSKI, JOHN WALTER | AMLCO | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF OPERATING OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF COMPLIANCE OFFICER | 2922709 |
Disclosures
| Regulatory Event | 3 |
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