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TL

Thomas Lopez

VAXA PARTNERS LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 7426042
TL

Professional summary

Thomas Lopez is a registered financial professional currently at VAXA PARTNERS LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2021. Thomas has worked at 2 firms and has passed the Series 63, Series 79TO and SIE 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 Thomas Lopez'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

September 26, 2025 - Present

VAXA PARTNERS LLC

Office #1: 540 Madison Avenue, New York, NY 10022
BD
CRD#: 334867
NEW YORK, NY
Past

October 29, 2021 - July 13, 2023

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/29/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

VP
VAXA PARTNERS LLC
VAXA PARTNERS LLC

CRD#: 334867 / SEC#: , 8-71326

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

Main Address
540 Madison Avenue, New York, NY 10022
Mailing Address
540 Madison Avenue, New York, NY 10022
Phone number
(262) 389-7992
Established
Delaware since 11/13/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GOODEN, TED JAMESMANAGING PARTNER AND CHIEF COMPLIANCE OFFICER1852588
EBERT, PAUL FRANCISFINANCIAL AND OPERATIONS PRINCIPAL1121231

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

VAXA PARTNERS LLC

CRD#: 334867New York, NY 10022

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