Fionah C. 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.
Fionah Cordova Lopez was a registered financial professional .
Fionah is a previously registered financial professional and started their career in finance in 2012. Fionah had worked at 5 firms and has passed the Series 66, 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
January 11, 2017 - January 3, 2019
TD AMERITRADE, INC.
January 6, 2017 - January 3, 2019
TD AMERITRADE, INC.
January 6, 2017 - January 3, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 16, 2015 - December 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 2015 - December 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2014 - March 11, 2015
MORGAN STANLEY
May 21, 2014 - March 11, 2015
MORGAN STANLEY
December 14, 2012 - March 14, 2013
WADDELL & REED
September 5, 2012 - March 14, 2013
WADDELL & REED
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
