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Mario A Lopez

Ameriprise Financial Services, LLC

Dallas, TX

Dallas, TX

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-06-19
  • TX RA
    APPROVED
    Since 2020-06-19

Branch Locations

5960 Berkshire Ln Ste 1200, Dallas, TX 75225 • United States

Dallas, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 09/1999 06/2020
Ameriprise Financial Services Inc Dallas TX 06/2020 06/2020
Ameriprise Financial Services, Llc Dallas TX 03/2020 03/2020
Ameriprise Financial Services, Llc. Dallas TX 06/2020 Present
Previous Registrations
Other Businesses

Board of Directors; The Senior Source; Director; 3910 Harry Hines Blvd, , Dallas, TX, 75219; Not Investment-Related; 04/05/2023; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-29
S63 Uniform Securities Agent State Law Examination 1999-12-01
  • S66 Uniform Combined State Law Examination
    2007-01-29
  • S63 Uniform Securities Agent State Law Examination
    1999-12-01
Designations
Other Names
  • Mario A Lopez
  • Mario Alfonso Lopez

View on SEC IAPD

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