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JULIAN C LOPEZ JR
JULIAN C LOPEZ
CRD#: 3172924
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1616 CONCIERGE BLVD
DAYTONA BEACH, FL 32117
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2009 (10 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - Present (14 years)
Disclosure(s)
View By:
11/8/2016
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/23/2016

B
Massachusetts 2/23/2016

B
California 10/8/2010

B
New Hampshire 3/28/2022

B
Colorado 12/2/2016

B
New York 10/8/2010

B
Connecticut 2/23/2016

B
North Carolina 10/8/2010

B
Delaware 2/23/2016

B
Pennsylvania 7/29/2014

B
Florida 10/8/2010

B
South Carolina 2/23/2016

IA
Florida 10/15/2010

B
Tennessee 2/23/2023

B
Georgia 2/23/2016

B
Texas 2/7/2012

B
Illinois 12/11/2013

IA
Texas 2/23/2012

B
Kansas 10/10/2023

B
Vermont 10/29/2013

B
Maryland 2/27/2020

B
Wisconsin 8/7/2013

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1616 CONCIERGE BLVD, DAYTONA BEACH, FL 32117
Registered with this firm since 10/15/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1616 CONCIERGE BLVD, DAYTONA BEACH, FL 32117
Registered with this firm since 10/8/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 10/22/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) ORMOND BEACH, FL
B
06/01/2009 - 10/22/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ORMOND BEACH, FL
IA
03/10/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ORMOND BEACH, FL
B
03/08/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ORMOND BEACH, FL
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B
Broker
IA
Investment Adviser
Disclosures
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.