EL
Ernest A. Lopez
INVESCO DISTRIBUTORS
HOLMDEL, NJ
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CRD#: 4584571
EL
Professional summary
Ernest A Lopez Jr., who also goes by Ernesto Arthur Lopez Jr., Ernesto Arthur Lopez, Ernie Arthur Lopez, Ernesto A Lopez, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Holmdel, New Jersey.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 2002. Ernest has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ernesto Arthur Lopez Jr. | Ernesto Arthur Lopez | Ernie Arthur Lopez | Ernesto A 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.
CRS (Client Relationship Summary) - BD
Click below to view Ernest A Lopez Jr.'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®
NoneExperience
Current
April 23, 2025 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOLMDEL, NJ
Past
December 7, 2022 - March 3, 2025
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
Boston, MA
Past
November 22, 2006 - April 20, 2021
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
November 22, 2006 - April 30, 2021
IVY DISTRIBUTORS, INC.
BD
CRD#: 16496
OVERLAND PARK, KS
Past
May 30, 2003 - November 14, 2006
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
October 2, 2002 - May 30, 2003
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/23/2025)
RR
Alaska(4/23/2025)
RR
Arizona(4/23/2025)
RR
Arkansas(4/23/2025)
RR
California(4/23/2025)
RR
Colorado(4/23/2025)
RR
Connecticut(4/23/2025)
RR
Delaware(4/23/2025)
RR
District of Columbia(4/23/2025)
RR
Florida(4/23/2025)
RR
Georgia(4/23/2025)
RR
Hawaii(4/23/2025)
RR
Idaho(4/23/2025)
RR
Illinois(4/23/2025)
RR
Indiana(4/23/2025)
RR
Iowa(4/23/2025)
RR
Kansas(4/23/2025)
RR
Kentucky(4/23/2025)
RR
Louisiana(4/23/2025)
RR
Maine(4/23/2025)
RR
Maryland(4/23/2025)
RR
Massachusetts(4/23/2025)
RR
Michigan(4/23/2025)
RR
Minnesota(4/23/2025)
RR
Mississippi(4/23/2025)
RR
Missouri(4/23/2025)
RR
Montana(4/23/2025)
RR
Nebraska(4/23/2025)
RR
Nevada(4/23/2025)
RR
New Hampshire(4/23/2025)
RR
New Jersey(4/23/2025)
RR
New Mexico(4/23/2025)
RR
New York(4/23/2025)
RR
North Carolina(4/23/2025)
RR
North Dakota(4/23/2025)
RR
Ohio(4/23/2025)
RR
Oklahoma(4/23/2025)
RR
Oregon(4/23/2025)
RR
Pennsylvania(4/23/2025)
RR
Puerto Rico(4/23/2025)
RR
Rhode Island(4/23/2025)
RR
South Carolina(4/23/2025)
RR
South Dakota(4/23/2025)
RR
Tennessee(4/23/2025)
RR
Texas(4/23/2025)
RR
Utah(4/23/2025)
RR
Vermont(4/23/2025)
RR
Virgin Islands(4/23/2025)
RR
Virginia(4/23/2025)
RR
Washington(4/23/2025)
RR
West Virginia(4/23/2025)
RR
Wisconsin(4/23/2025)
RR
Wyoming(4/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
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.
