Jose Lopes, financial advisor Pawtucket RI
96 score

Jose Lopes

CRD Number: 5478817
Current Firm: Principal Securities, Inc.

Jose Lopes (CRD# 5478817) is an Investment Advisor Representative working at Principal Securities, Inc. in Pawtucket, RI and has over 8 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Principal Life Insurance Company Pawtucket, RI May 2015 - Current 1
Princor Financial Services Corporation Pawtucket, RI May 2015 - Current 1
Mml Investors Services Warwick, RI Jan 2008 - May 2015 7
Massmutual Life Insurance Company Warwick, RI Dec 2007 - May 2015 7
Francis Farm Rehoboth, MA Sep 2007 - Oct 2007 < 1
Signs & Sites Seekonk, MA Feb 1998 - Oct 2007 9
Mota Brothers Bakers Dba Dunkin' Donuts Sunderland, MA Jul 2006 - Aug 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2008
Contact Info for Jose E. Lopes
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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