Carlos LopezCRD Number: 6825252
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Carlos Lopez (CRD# 6825252) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Miami, FL and has over 2 years of experience in the finance industry.
Genesis Wealth Management, Inc.
Kingsview Wealth Management, LLC
Efg Asset Management (americas) Corp.
|Bank Of America, N.a.||Miami, FL||Dec 2019 - Current||< 1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Miami, FL||Aug 2019 - Current||1|
|National Securities Corp||Miami, FL||Jan 2018 - Jun 2019||1|
|National Securities Corp||Miami, FL||Jun 2017 - Jan 2018||< 1|
|Park One||Miami, FL||Jan 2012 - Jun 2017||5|
|Miami Dade College||Miami, FL||Aug 2013 - Apr 2017||3|
|Laz Parking||Miami, FL||Mar 2017 - Mar 2017||< 1|
|Ja Uniforms||Miami, FL||Aug 2012 - Dec 2012||< 1|
|High School||Miami, FL||Jan 2008 - Jun 2012||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 2018|
|S65||NASAA Investment Advisors Law Examination||Nov 2019|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management962,052MILLIONS
Total Number of Accounts2,529,169ACCOUNTS
Average Account Value$380,383
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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