Diego Cardenas 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.
Diego Cardenas Lopez, who also goes by Diego Cardenas Lopez, was a registered financial professional .
Diego is a previously registered financial professional and started their career in finance in 2006. Diego had worked at 3 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - April 23, 2018
PRIVATE PORTFOLIO, INC.
February 1, 2010 - August 22, 2016
LARADORBECKER SECURITIES CORPORATION
July 7, 2006 - December 14, 2007
LEVELX CAPITAL LLC
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
PRIVATE PORTFOLIO, INC.
CRD#: 36644 / SEC#: 801-69346, 8-47421
Contact information
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 93 |
| AUM (Assets Under Management) | $ 91,500,000 |
Disclosures
| Regulatory Event | 1 |
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.
