Mark 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.
Mark Lopez was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2017. Mark had worked at 3 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
July 22, 2021 - September 17, 2024
ALLY INVEST SECURITIES LLC
May 16, 2019 - July 22, 2021
GOLDMAN SACHS & CO. LLC
October 24, 2017 - April 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2017 - April 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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