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SL

Sergio A. Lopez

BRADESCO INVESTMENTS
Coral Gables, FL 33134
Some features on this profile are disabled
CRD#: 6459854
SL

Professional summary

Sergio Antonio Lopez is a registered financial professional currently at BRADESCO INVESTMENTS INC. located in Coral Gables, Florida.

Sergio is registered as a RR (Registered Representative) and started their career in finance in 2015. Sergio has worked at 1 firm and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sergio Antonio Lopez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 11, 2015 - Present

BRADESCO INVESTMENTS INC.

Office #1: 3011 Ponce De Leon Blvd, Ph1, Coral Gables, FL 33134
BD
CRD#: 19453
Coral Gables, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(6/11/2015)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/13/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BI
BRADESCO INVESTMENTS INC.
BAC CORP. SECURITIES | BRADESCO INVESTMENTS INC. | BRADESCO BAC FLORIDA INVESTMENTS CORP. | BRADESCO BAC FLORIDA INVESTMENT CORP. | BAC FLORIDA INVESTMENTS CORP. | BAC FLORIDA INVESTMENTS | BAC CORP. SECURITIES AND INVESTMENT SERVICES

CRD#: 19453 / SEC#: , 8-37483

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
3011 Ponce De Leon Blvd, Ph1, Coral Gables, FL 33134
Mailing Address
3011 Ponce De Leon Blvd, Ph1, Coral Gables, FL 33134
Phone number
(305) 523-6510
Established
Florida since 11/14/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BRADESCO BANKSHAREHOLDER
GALINDO GNIBUS, DULCE MARIACHIEF COMPLIANCE OFFICER5172187
GOULART DA CUNHA, MAURICIO FRANCOHEAD OF BRADESCO INVESTMENTS5206904
VILLELA, CARLOS ALBERTOCHIEF ACCOUNTING OFFICER, FINOP5882274

Disclosures

Regulatory Event1

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.

Company Information

BRADESCO INVESTMENTS INC.

CRD#: 19453Coral Gables, FL 33134

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