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Detailed Report
Ramon A Lopez Jr
R.J. LOPEZ, RAMON ASPRER LOPEZ JR., RAMON ASPRER LOPEZ
CRD#: 4704041
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 1300 HIGGINS RD SUITE 213
PARK RIDGE, IL 60068
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2013 - Present (11 years)BNEW ENGLAND SECURITIES (CRD# 615)2004 - 2013 (9 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)2004 - 2004 (<1 year)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2008 - 2013 (5 years)
License(s)

State Registrations

B
Arizona 7/27/2016
B
New York 7/23/2018
B
Arkansas 11/12/2019
B
North Carolina 7/23/2018
B
California 11/8/2013
B
Ohio 11/8/2013
B
Colorado 11/8/2013
B
Rhode Island 11/8/2013
B
Florida 2/25/2022
B
Texas 11/8/2013
B
Illinois 11/8/2013
IA
Texas 1/9/2019
IA
Illinois 11/8/2013
B
Virginia 6/25/2024
B
Indiana 11/8/2013
B
Washington 6/15/2021
B
Michigan 9/18/2017
B
Wisconsin 11/8/2013
B
Missouri 3/29/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
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
EDWARD JONES (CRD#:250)
1300 HIGGINS RD SUITE 213, PARK RIDGE, IL 60068
Registered with this firm since 11/8/2013
B
EDWARD JONES (CRD#:250)
1300 HIGGINS RD SUITE 213, PARK RIDGE, IL 60068
Registered with this firm since 11/8/2013
Previous Registration(s)
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IA
 09/09/2008 - 11/13/2013 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) CHICAGO, IL
B
 06/21/2004 - 11/13/2013 NEW ENGLAND SECURITIES (CRD#:615) CHICAGO, IL
B
 03/29/2004 - 05/04/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.