Adrian M. Lozano
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.
Adrian Matthew Lozano, who also goes by Adrian M Lozano, was a registered financial professional .
Adrian is a previously registered financial professional and started their career in finance in 2021. Adrian had worked at 3 firms and has passed the Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2022 - December 5, 2022
VICTORY CAPITAL SERVICES, INC.
October 15, 2021 - April 13, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 7, 2021 - June 18, 2021
NYLIFE 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
Exams
Series 6TO
Date: 5/6/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
