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Michael David Lopez
MICHAEL DAVID LOPEZ, Michael D Lopez, Michael Lopez
CRD#: 2657580
IA
B
NEXT FINANCIAL GROUP, INC.CRD#: 46214 Buckeye, AZ
0
Disclosures
29
Years of Experience
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State Registrations
B
Arizona 8/25/2020
B
Colorado 8/17/2020
IA
Arizona 2/14/2025
B
Minnesota 8/18/2020
B
California 8/17/2020
B
Nevada 9/8/2020
IA
California 8/17/2020
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/10/2015 - 06/01/2020 | NEWPORT BEACH, CA | |
B | 03/09/2015 - 06/01/2020 | NEWPORT BEACH, CA | |
IA | 11/30/2012 - 03/04/2015 | GLENDORA, CA | |
B | 11/30/2012 - 03/04/2015 | GLENDORA, CA | |
IA | 07/11/2011 - 12/04/2012 | LA MESA, CA | |
B | 10/31/2005 - 12/04/2012 | LA MESA, CA | |
B | 11/03/1995 - 10/31/2005 | PHOENIX, AZ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.