Shirley Lopez
Professional summary
Shirley Lopez, who also goes by Shirley Mejia, Shirley VIdal, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Coral Gables, Florida and TRUIST INVESTMENT SERVICES, INC. located in Coral Gables, Florida.
Shirley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Shirley has worked at 7 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shirley Lopez's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2022 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 201 Alhambra Cir Fl 14, Coral Gables, FL 33134September 6, 2022 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 201 Alhambra Cir Ste 1402, Coral Gables, FL 33134August 24, 2016 - August 18, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 23, 2016 - August 18, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2015 - August 24, 2016
CITIGROUP GLOBAL MARKETS INC.
June 8, 2015 - August 24, 2016
CITIGROUP GLOBAL MARKETS INC.
August 20, 2013 - May 19, 2015
J.P. MORGAN SECURITIES LLC
August 14, 2013 - May 19, 2015
J.P. MORGAN SECURITIES LLC
January 9, 2012 - June 1, 2012
NYLIFE SECURITIES LLC
April 29, 2009 - October 19, 2011
U.S. BANCORP ADVISORS, LLC
August 20, 2008 - October 19, 2011
U.S. BANCORP ADVISORS, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2022)
(9/20/2022)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Coral Gables, FL 33134TRUST BUT VERIFY
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