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ARTHUR LOPES
ART LOPES
CRD#: 2969419
IA
B
MORGAN STANLEYCRD#: 149777 609 DEEP VALLEY DR
SUITE 400
ROLLING HILLS, CA 90274
SUITE 400
ROLLING HILLS, CA 90274
0
Disclosures
22
Years of Experience
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State Registrations
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Alabama 3/21/2023
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Nebraska 3/21/2023
B
Alaska 9/5/2023
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Nevada 9/5/2023
B
Arizona 3/21/2023
B
New Hampshire 3/21/2023
B
Arkansas 3/21/2023
B
New Jersey 3/21/2023
B
California 3/21/2023
B
New Mexico 3/21/2023
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California 9/5/2023
B
New York 3/21/2023
B
Colorado 3/21/2023
B
North Carolina 9/5/2023
B
Connecticut 3/21/2023
B
North Dakota 3/21/2023
B
Delaware 3/21/2023
B
Ohio 3/21/2023
B
District of Columbia 3/21/2023
B
Oklahoma 3/21/2023
B
Florida 3/21/2023
B
Oregon 9/5/2023
B
Georgia 3/21/2023
B
Pennsylvania 9/5/2023
B
Hawaii 3/21/2023
B
Puerto Rico 3/21/2023
B
Idaho 3/21/2023
B
Rhode Island 3/21/2023
B
Illinois 3/21/2023
B
South Carolina 3/21/2023
B
Indiana 3/21/2023
B
South Dakota 3/21/2023
B
Iowa 3/21/2023
B
Tennessee 3/21/2023
B
Kansas 3/21/2023
B
Texas 3/21/2023
B
Kentucky 3/21/2023
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Texas 9/5/2023
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Louisiana 3/21/2023
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Utah 4/17/2023
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Maine 3/21/2023
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Vermont 3/21/2023
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Maryland 3/21/2023
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Virgin Islands 3/21/2023
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Massachusetts 9/5/2023
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Virginia 9/5/2023
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Michigan 3/21/2023
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Washington 3/21/2023
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Minnesota 3/21/2023
B
West Virginia 9/5/2023
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Mississippi 3/21/2023
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Wisconsin 3/21/2023
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Missouri 3/21/2023
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Wyoming 3/21/2023
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Montana 3/21/2023
SRO Registrations
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IA
Registered with this firm since 9/5/2023
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Registered with this firm since 3/21/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/20/2015 - 09/05/2023 | ROLLING HILLS, CA | |
B | 10/20/2015 - 09/05/2023 | ROLLING HILLS, CA | |
IA | 09/22/2010 - 10/02/2015 | TORRANCE, CA | |
B | 09/22/2010 - 10/02/2015 | TORRANCE, CA | |
IA | 08/05/2009 - 03/24/2010 | SANTA MONICA, CA | |
B | 08/05/2009 - 03/24/2010 | SANTA MONICA, CA | |
IA | 10/01/2007 - 05/01/2008 | LOS ANGELES, CA | |
B | 09/27/2007 - 05/01/2008 | LOS ANGELES, CA | |
IA | 02/15/2007 - 10/03/2007 | ORLAND PARK, IL | |
B | 02/15/2007 - 10/03/2007 | ORLAND PARK, IL | |
IA | 11/09/2005 - 02/08/2007 | CHICAGO, IL | |
B | 11/09/2005 - 02/08/2007 | CHICAGO, IL | |
IA | 02/13/2001 - 01/28/2005 | SAN FRANCISCO, CA | |
B | 11/15/1999 - 01/28/2005 | WESTLAKE, TX |
SANTA MONICA, CA
08/05/2009 - 03/24/2010
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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.
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