Robert E. 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.
Robert Edwards Lopez III, who also goes by Rob Lopez, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2008. Robert had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2019 - June 21, 2022
VIRTU AMERICAS LLC
September 7, 2017 - April 9, 2020
VIRTU FINANCIAL BD LLC
July 1, 2013 - January 15, 2019
VIRTU AMERICAS LLC
June 29, 2010 - July 1, 2013
GETCO SECURITIES, LLC
April 20, 2010 - June 11, 2014
OCTEG, LLC
November 11, 2008 - March 4, 2010
TD OPTIONS 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/24/2010
Limited Representative-Equity Trader ExamCurrent Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil 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.
