Jorge L. Lopez-quintana
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.
Jorge Luis Lopez-quintana III, CIMA®, who also goes by Jorge Luis Lopez-quintana, Jorge Luis Lopez-quintana III III, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 2001. Jorge had worked at 10 firms and has passed the Series 66, Series 7TO, SIE, Series 31 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
April 11, 2016 - June 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2016 - June 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2014 - December 11, 2015
WILLIAM BLAIR
September 12, 2014 - December 11, 2015
WILLIAM BLAIR
January 31, 2013 - September 2, 2014
PROSHARE ADVISORS LLC
January 10, 2013 - September 2, 2014
PROFUNDS DISTRIBUTORS, INC.
January 3, 2012 - September 21, 2012
BLACKROCK INVESTMENTS, LLC
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
April 30, 2007 - September 21, 2012
BLACKROCK FUND ADVISORS
April 30, 2007 - December 31, 2009
BLACKROCK EXECUTION SERVICES
January 30, 2004 - April 18, 2007
J.P. MORGAN SECURITIES LLC
January 27, 2004 - April 18, 2007
J.P. MORGAN SECURITIES LLC
November 12, 2003 - January 6, 2004
CARILLON INVESTMENTS, INC.
October 28, 2003 - January 6, 2004
CARILLON INVESTMENTS, INC.
April 11, 2001 - May 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2001 - May 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 7TO
Date: 1/1/2023
General Securities Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
