Rosa R. 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.
Rosa R Lopez, who also goes by Rosa Isela Lopez, Rosa Isela Reyes-medina, was a registered financial professional .
Rosa is a previously registered financial professional and started their career in finance in 2001. Rosa had worked at 2 firms and has passed the Series 63, SIE 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
March 31, 2010 - December 15, 2014
AMEGY INVESTMENTS, INC.
May 13, 2003 - May 14, 2009
AMEGY INVESTMENTS, INC.
October 17, 2001 - May 15, 2003
FISERV INVESTOR SERVICES, 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
AMEGY INVESTMENTS, INC.
CRD#: 120145 / SEC#: 801-61121, 8-65399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZB, N.A. | OWNER | |
| CHAPA, SCOTT EDWARD | DIRECTOR / SENIOR VICE PRESIDENT | 4309262 |
| DILLARD, KAREN | ASSISTANT SECRETARY | |
| KNELL, TERRY LYNN | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES | 1733584 |
| NEWMAN, VALERIE LAYNE | VICE PRESIDENT | 2763957 |
| OUYANG, JANE JIA | DIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP | 1817244 |
| PAUL, ROSALIE JANISE | ASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES | 2217903 |
| SHELTON, ROBERT ANDREWS | DIRECTOR / SENIOR VICE PRESIDENT | 2561167 |
| TAYLOR, LINCOLN EARL | PRESIDENT & DIRECTOR | 5011548 |
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.
