Fionah Lopez, financial advisor Rancho Cucamonga CA
68 score

Fionah Lopez

CRD Number: 6053883
Current Firm: Td Ameritrade, Inc.

Fionah Lopez (CRD# 6053883) is an Investment Advisor Representative working at Td Ameritrade, Inc. in Rancho Cucamonga, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Td Ameritrade Rancho Cucamonga, CA Dec 2016 - Current 1
Bank Of America, N.a. Upland, CA Apr 2015 - Dec 2016 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Upland, CA Apr 2015 - Dec 2016 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Apr 2015 < 1
Morgan Stanley Los Angeles, CA Mar 2014 - Apr 2015 1
Unemployed Baldwin Park, CA Jun 2013 - Mar 2014 < 1
Jack Harriman & Associates Monrovia, CA Mar 2011 - Jun 2013 2
Various Insurance Carriers For W&r Insurance Agencies Baldwin Park, CA May 2012 - Mar 2013 < 1
Waddell & Reed, Inc. Los Angeles, CA Apr 2012 - Mar 2013 < 1
Amigos Realty West Covina, CA May 2006 - Mar 2011 4
Las Vegas Referral Realty Las Vegas, NV Apr 2006 - Apr 2009 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2012
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Fionah C. Lopez
Phone Number: (800) 669-3900
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Other
Advisory Services Offered
  • 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
68

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