Individual Firm
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John Lopez
CRD#: 4821926
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 1560 SHERMAN AVENUE
SUITE 100
EVANSTON, IL 60201
SUITE 100
EVANSTON, IL 60201
0
Disclosures
15
Years of Experience
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State Registrations
B
California 3/2/2023
B
Missouri 11/17/2023
B
Florida 2/3/2021
B
New Jersey 9/24/2024
B
Georgia 6/15/2020
B
New York 7/26/2024
B
Illinois 12/13/2018
B
Oregon 3/10/2023
IA
Illinois 12/13/2018
B
Tennessee 7/21/2022
B
Indiana 2/24/2023
B
Texas 1/21/2021
B
Massachusetts 3/9/2021
B
Wisconsin 9/29/2021
B
Michigan 2/4/2021
SRO Registrations
B
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IA
Registered with this firm since 12/13/2018
B
Registered with this firm since 12/13/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2016 - 12/06/2018 | WHEELING, IL | |
B | 06/21/2013 - 12/06/2018 | WHEELING, IL | |
B | 08/07/2006 - 06/30/2008 | CHICAGO, IL | |
B | 03/15/2005 - 07/14/2006 | DOVER, NH | |
B | 07/19/2004 - 10/05/2004 | CHICAGO, IL |
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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.