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RL

Rachell Lopingco

ANZ SECURITIES
New York, NY 10172-0003
Some features on this profile are disabled
CRD#: 6977768
RL

Professional summary

Rachell Lopingco is a registered financial professional currently at ANZ SECURITIES, INC. located in New York, New York.

Rachell is registered as a RR (Registered Representative) and started their career in finance in 2018. Rachell has worked at 2 firms and has passed the Series 63, SIE and Series 79 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 Rachell Lopingco's 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

January 21, 2022 - Present

ANZ SECURITIES, INC.

Office #1: 277 Park Avenue Floor 31, New York, NY 10172-0003
BD
CRD#: 36654
New York, NY
Past

November 26, 2018 - June 8, 2021

RABO SECURITIES USA, INC.

BD
CRD#: 122657
NEW YORK, NY

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
New York
(1/21/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/26/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ANZ SECURITIES, INC.
ANZ SECURITIES, INC.

CRD#: 36654 / SEC#: , 8-47390

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

Main Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Mailing Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Phone number
(212) 801-9160
Established
New York since 04/07/1994
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ANZ FUNDS PTY LIMITEDOWNER
AHARON, AMIEL LEVYPRESIDENT2573889
KARPUKHIN, ALEXANDER AFINOP6926592
MAURO, JOSEPH SCOTTCCO1837938

Disclosures

Regulatory Event3

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

ANZ SECURITIES, INC.

CRD#: 36654New York, NY 10172-0003

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