Matthew A. Lopata
Professional summary
Matthew Alan Lopata, who also goes by Matt Lopata, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Brewster, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2012. Matthew has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Alan Lopata's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 14, 2019 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
March 25, 2015 - January 8, 2018
TRANSAMERICA INVESTORS SECURITIES, LLC
August 27, 2012 - April 23, 2013
EMPOWER 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
(5/14/2019)
Exams
FINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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