Christopher M. 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.
Christopher Mark Lopez, who also goes by Chris Mark Lopez, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2009. Christopher had worked at 3 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2014 - July 18, 2014
REEF SECURITIES, INC.
October 26, 2012 - December 26, 2013
TEXAS E&P PARTNERS, INC.
August 6, 2010 - November 2, 2012
RED RIVER SECURITIES, LLC
November 9, 2009 - September 2, 2010
TEXAS E&P PARTNERS, 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
Current Firm
REEF SECURITIES, INC.
CRD#: 31951 / SEC#: , 8-45583
Contact information
FINRA licenses (32 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
