Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ANALIZA TAN LOPEZ
LIZA TAN LOPEZ, ANALIZA DY TAN
CRD#: 4744500
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (<1 year)2 FIRMS2006 - Present (18 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2005 - 2006 (1 year)
License(s)

State Registrations

B
Arizona 4/27/2011
B
Montana 4/27/2011
B
California 6/6/2006
B
Nebraska 11/4/2021
IA
California 6/6/2006
B
Nevada 4/27/2011
B
Colorado 4/27/2011
B
New Jersey 4/27/2011
B
Connecticut 4/14/2020
B
New Mexico 8/31/2018
B
Delaware 9/15/2020
B
New York 4/27/2011
B
District of Columbia 1/2/2025
B
North Carolina 4/29/2011
B
Florida 2/12/2016
B
Oklahoma 1/25/2019
B
Georgia 1/25/2019
B
Oregon 4/27/2011
B
Hawaii 4/27/2011
B
Tennessee 2/20/2019
B
Idaho 3/31/2021
B
Texas 4/27/2011
B
Illinois 1/25/2019
IA
Texas 4/28/2011
B
Louisiana 3/13/2023
B
Utah 6/22/2016
B
Maryland 1/16/2018
B
Virginia 4/27/2011
B
Massachusetts 8/27/2021
B
Washington 4/27/2011
B
Missouri 9/15/2020
B
Wisconsin 6/22/2016

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX 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
WELLS FARGO ADVISORS (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 6/6/2006
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 6/6/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/24/2005 - 06/13/2006 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
IA
 04/06/2004 - 01/11/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HONOLULU, HI
B
 02/20/2004 - 01/11/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
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.