Nicholas C. Lopez
Professional summary
Nicholas C Lopez is a registered financial professional currently at FAIRMOUNT PARTNERS LP located in Radnor, Pennsylvania.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas C Lopez's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2016 - Present
FAIRMOUNT PARTNERS LP
Office #1: 555 East Lancaster Avenue Suite 640, Radnor, PA 19087December 23, 2015 - August 15, 2016
EASTGATE SECURITIES, 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
(1/14/2020)
Exams
FINRA
Current Firm
FAIRMOUNT PARTNERS LP
CRD#: 146668 / SEC#: , 8-67839
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, CORNELIUS PATRICK III | CHIEF EXECUTIVE OFFICER | 2153332 |
| THATCHER, RICHARD W JR | MANAGING DIRECTOR | |
| ROBINS, CHARLES MATTHEW | MANAGING DIRECTOR | 2444830 |
| FAIRMOUNT PARTNERS GP INC. | GP | |
| HALLIDAY, CHRISTINA MARIE | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2769112 |
| SIMON, LINDA DAHMS MRS | CHIEF COMPLIANCE OFFICER | 59900 |
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.
