Carlos Lopez, financial advisor Miami FL

Carlos Lopez

CRD 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.

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Company Name Location Dates Years
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
Disclosure Information

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
Contact Info for Carlos Lopez
Phone Number: 800-637-7455
Registered State(s):
  • FL
  • TX
By the Numbers
  • Total Assets Under Management
    962,052
    MILLIONS
  • Total Number of Accounts
    2,529,169
    ACCOUNTS
  • Average Account Value
    $380,383
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Other
Types of Clients
Registered States

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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