Arthur LopesCRD Number: 2969419
Current Firm: E*trade Capital Management, LLC
Arthur Lopes (CRD# 2969419) is an Investment Advisor Representative working at E*trade Capital Management, LLC in New York, NY and has over 16 years of experience in the finance industry.
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Axa Advisors, LLC
|E*trade Securities LLC||Torrance, CA||Jul 2016 - Current||< 1|
|E*trade Capital Management LLC||Torrance, CA||Jul 2016 - Current||< 1|
|E*trade Securities LLC||Los Angeles, CA||Oct 2015 - Jul 2016||< 1|
|E*trade Capital Management LLC||Los Angeles, CA||Oct 2015 - Jul 2016||< 1|
|Unemployed||Palos Verdes Estates, CA||Sep 2015 - Oct 2015||< 1|
|Charles Schwab & Company, Inc.||Torrance, CA||Sep 2010 - Sep 2015||5|
|Charles Schwab Bank||Torrance, CA||Sep 2010 - Sep 2015||5|
|Unemployed||Redondo Beach, CA||Mar 2010 - Sep 2010||< 1|
|National Planning Corporation||Santa Monica, CA||Jun 2009 - Mar 2010||< 1|
|Unemployed||Redondo Beach, CA||May 2009 - Jun 2009||< 1|
|Harris Financial Advisors, Inc.||Torrance, CA||May 2008 - May 2009||1|
|Wedbush Morgan Securities||Los Angeles, CA||Sep 2007 - May 2008||< 1|
|Wachovia Securities, LLC||Orland Park, IL||Feb 2007 - Sep 2007||< 1|
|Envestnet Asset Management, Inc.||Chicago, IL||Feb 2005 - Feb 2007||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 2000|
|S65||NASAA Investment Advisors Law Examination||Feb 2001|
Total Assets Under Management3,199MILLIONS
Total Number of Accounts19,200ACCOUNTS
Average Account Value$166,610
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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