Noe R. 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.
Noe Robert Lopez, who also goes by Noe R Lopez, Noe Robert Lopez Jr, Noe Lopez, was a registered financial professional .
Noe is a previously registered financial professional and started their career in finance in 2020. Noe had worked at 5 firms and has passed the Series 66, Series 7TO 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
November 27, 2024 - August 14, 2025
QUASAR DISTRIBUTORS, LLC
July 16, 2024 - October 19, 2024
J.P. MORGAN SECURITIES LLC
July 16, 2024 - October 19, 2024
J.P. MORGAN SECURITIES LLC
March 30, 2022 - May 28, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2022 - May 28, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 2021 - January 20, 2022
FIRST COMMAND ADVISORY SERVICES
November 30, 2020 - January 20, 2022
FIRST COMMAND BROKERAGE SERVICES, INC.
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 7TO
Date: 11/30/2020
General Securities Representative ExaminationCurrent Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
