RL
Ricardo Lopez
STRATEGAS SECURITIES DBA STRATEGAS RESEARCH PARTNERS
New York, NY 10017
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CRD#: 7790889
RL
Professional summary
Ricardo Lopez Jr., who also goes by Ricardo Lopezjr, is a registered financial advisor currently at STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS located in New York, New York.
Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Ricardo has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ricardo Lopezjr
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo Lopez Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Lopez Jr.'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®
NoneExperience
Current
April 11, 2025 - Present
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
Office #1: 52 Vanderbilt Avenue 8th Floor, New York, NY 10017RIA
BD
CRD#: 149326
New York, NY
Current
April 11, 2025 - Present
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
Office #1: 52 Vanderbilt Avenue 8th Floor, New York, NY 10017RIA
BD
CRD#: 149326
New York, NY
Past
January 17, 2024 - April 14, 2025
T. ROWE PRICE ASSOCIATES, INC.
RIA
CRD#: 105496
Owings Mills, MD
Past
October 23, 2023 - April 14, 2025
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
OWINGS MILLS, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC
CRD#: 149326 / SEC#: 801-116875, 8-68138
RIA
Registered Investment Advisory firm - SEC (6/28/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(4/11/2025)
RR
California(4/11/2025)
RR
Connecticut(4/11/2025)
RR
Delaware(4/11/2025)
RR
District of Columbia(4/11/2025)
RR
Georgia(4/11/2025)
RR
Hawaii(4/11/2025)
RR
Illinois(4/11/2025)
RR
Massachusetts(4/11/2025)
RR
New York(4/11/2025)
IAR
New York(4/11/2025)
RR
North Carolina(4/11/2025)
RR
Ohio(4/11/2025)
RR
Oklahoma(4/11/2025)
RR
Pennsylvania(4/11/2025)
RR
Texas(4/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/23/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC
CRD#: 149326 / SEC#: 801-116875, 8-68138
RIA
Registered Investment Advisory firm - SEC (6/28/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
52 Vanderbilt Avenue 19th Floor 19th Floor, New York, NY, 10017
Mailing Address
52 Vanderbilt Avenue 19th Floor, New York, NY, 10017
Phone number
(646) 292-7950
Established
New York since 12/06/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
47
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| ANTHONY, DANNELL WAYNE | FINOP, DIRECTOR OF FINANCE | 7038021 |
| BOHNSACK, NICHOLAS GREGORY | PRESIDENT / COO | 4571796 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| GABAY, EILEEN MARGARET | CHIEF OPERATING OFFICER | 5602349 |
| LANGENFELD, JON A | DIRECTOR | 4322120 |
| LOGUE, SOFIA | CHIEF COMPLIANCE OFFICER | 6406784 |
| RISSMILLER, DONALD JAMES | VICE CHAIRMAN / PRINCIPAL | 5227351 |
| TOTORO, MICHAEL A | CHIEF TECHNOLOGY OFFICER | 1552053 |
| TRENNERT, JASON RICHARD | CHAIRMAN / CEO | 2079457 |
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.
