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.
CRD# 5031859
Ubs Financial Services Inc.
Score
103
CRD# 2375298
Eclectic Associates, Inc.
Score
103
CRD# 2835806
Fox Investing
Score
101
| 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 |
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
- CA
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Total Assets Under Management0MILLIONS
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Total Number of Accounts0ACCOUNTS
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Average Account Value$0
- Other
- 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, WY
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