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Steven C Lopez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Western Springs, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-10-10
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-10-10
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • United States

Western Springs, IL • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 10/2009 Present
Bank Of America, N.A. Chicago IL 06/2011 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-04-29
S63 Uniform Securities Agent State Law Examination 1997-09-23
  • S65 Uniform Investment Adviser Law Examination
    2000-04-29
  • S63 Uniform Securities Agent State Law Examination
    1997-09-23
Other Names
  • Steve Lopez
  • Steven Christopher Lopez

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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