Karen P. Larios 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.
Karen Paola Larios Lopez, who also goes by Karen P Larios Lopez, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2022. Karen had worked at 2 firms and has passed the Series 79TO 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
May 17, 2023 - October 19, 2023
REGIMENT SECURITIES, LLC.
June 19, 2022 - December 19, 2022
GAR WOOD 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 79TO
Date: 6/18/2022
Investment Banking Registered Representative ExaminationCurrent Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (34 States and Territories)
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.
