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CL

Christian E. Lopez

FCF SECURITIES AND DERIVATIVES
CHICAGO, IL 60605
Some features on this profile are disabled
CRD#: 7566099
CL

Professional summary

Christian Emilio Lopez, who also goes by Christian Lopez, is a registered financial professional currently at FCF SECURITIES AND DERIVATIVES LLC located in Chicago, Illinois.

Christian is registered as a RR (Registered Representative) and started their career in finance in 2022. Christian has worked at 2 firms and has passed the Series 66, Series 57TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christian Lopez

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 Christian Emilio 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

March 27, 2023 - Present

FCF SECURITIES AND DERIVATIVES LLC

Office #1: 425 S. Financial Place Ste. 1575, Chicago, IL 60605
BD
CRD#: 157067
CHICAGO, IL
Past

November 7, 2022 - March 14, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ROLLING MEADOWS, IL
Past

October 7, 2022 - March 14, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ROLLING MEADOWS, IL

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
Illinois
(3/27/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/4/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 9/16/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/7/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/25/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

FS
FCF SECURITIES AND DERIVATIVES LLC
FCF SECURITIES AND DERIVATIVES LLC | FOG EQUITIES LLC | FOG EQUITIES

CRD#: 157067 / SEC#: , 8-68831

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

Main Address
425 S. Financial Place Ste. 1575, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste. 1575, Chicago, IL 60605
Phone number
(312) 663-2712
Established
Delaware since 04/01/2019
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#
FCF GROUP INTERMEDIATE HOLDINGS LLC100% DIRECT OWNER
MCDEVITT, BERNARD EDWARDCEO2734672
POSTREL, HELENE BERSONPRINCIPAL OPERATIONS OFFICER2240945
POSTREL, HELENE BERSONPRINCIPAL FINANCIAL OFFICER2240945
POSTREL, HELENE BERSONFINOP2240945
WONG, WILLIE LCHIEF COMPLIANCE OFFICER4170997

Disclosures

Regulatory Event4

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

FCF SECURITIES AND DERIVATIVES LLC

CRD#: 157067Chicago, IL 60605

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