• 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.
Ivan Lopez
CRD#: 6290199
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 11811 BERNARDO PLAZA CT
SAN DIEGO, CA 92128
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2023 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2014 - 2022 (8 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - 2022 (1 year)
License(s)

State Registrations

B
Arizona 3/2/2023

B
Oregon 3/2/2023

B
California 2/27/2023

B
Tennessee 8/2/2024

IA
California 2/27/2023

B
Texas 3/2/2023

B
Florida 3/2/2023

IA
Texas 3/2/2023

B
Idaho 4/27/2023

B
Utah 4/10/2023

B
Michigan 7/2/2024

B
Washington 3/2/2023

B
Nevada 3/2/2023

B
Wyoming 4/13/2023

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)
11811 BERNARDO PLAZA CT, SAN DIEGO, CA 92128
Registered with this firm since 2/27/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
11811 BERNARDO PLAZA CT, SAN DIEGO, CA 92128
Registered with this firm since 2/27/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/05/2021 - 11/16/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
B
03/03/2014 - 11/16/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
For additional information about investment advisers or broker-dealers, please visit
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.