Eduardo Lopez Lule
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.
Eduardo Lopez Lule, who also goes by Eddie Lopez, Eduardo Lopez, Eddie Lopez-lule, Eduardo Lopez - Lule, Eduardo Lopezlule, was a registered financial professional .
Eduardo is a previously registered financial professional and started their career in finance in 2013. Eduardo had worked at 8 firms and has passed the Series 66, Series 7TO, 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
September 16, 2024 - November 26, 2024
FIDELITY BROKERAGE SERVICES LLC
September 22, 2021 - June 16, 2023
TITAN GLOBAL TECHNOLOGIES LLC
May 1, 2019 - November 2, 2020
REDBLACK ADVISERS, INC.
December 16, 2018 - March 28, 2019
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
October 29, 2018 - March 26, 2019
FORESIDE FINANCIAL SERVICES, LLC
September 26, 2016 - December 16, 2018
LWI FINANCIAL INC.
September 21, 2016 - October 29, 2018
LORING WARD SECURITIES INC.
December 19, 2013 - November 16, 2015
SECURIAN FINANCIAL SERVICES, INC.
September 27, 2013 - November 16, 2015
SECURIAN FINANCIAL 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
