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CARLA P LOPES
CARLA PEDROZA LOPES, CARLA LOPES STEINER, CARLA P STEINER, CARLA P LOPES STEINER, CARLA PEDROZA STEINER ^…
CRD#: 5366923
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 BRICKELL AVE
MIAMI, FL 33131
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2008 - 2009 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)2007 - 2008 (1 year)IABARCLAYS CAPITAL INC. (CRD# 19714)2009 - 2009 (<1 year)IALEHMAN BROTHERS INC. (CRD# 7506)2008 - 2008 (<1 year)
License(s)

State Registrations

B
California 11/12/2009

B
Michigan 1/2/2020

B
Colorado 9/9/2024

B
New York 8/18/2009

B
Connecticut 7/19/2017

B
Pennsylvania 7/15/2022

B
Delaware 1/8/2016

B
Puerto Rico 9/1/2022

B
District of Columbia 5/1/2023

B
South Carolina 5/23/2023

B
Florida 8/17/2009

B
Texas 10/6/2010

IA
Florida 8/24/2009

IA
Texas 2/26/2013

B
Georgia 5/28/2024

B
Utah 1/18/2023

B
Illinois 4/1/2020

B
Virgin Islands 2/17/2025

B
Massachusetts 6/22/2021

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

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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)
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 8/24/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 8/17/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/21/2009 - 08/12/2009 BARCLAYS CAPITAL INC. (CRD#:19714) MIAMI, FL
B
09/22/2008 - 08/12/2009 BARCLAYS CAPITAL INC. (CRD#:19714) MIAMI, FL
IA
05/23/2008 - 10/15/2008 LEHMAN BROTHERS INC. (CRD#:7506) MIAMI, FL
B
09/19/2007 - 09/22/2008 LEHMAN BROTHERS INC. (CRD#:7506) MIAMI, 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.