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Current Employers
Rbc Securities, Inc

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-09-18
  • CA RA
    APPROVED
    Since 2024-09-18

Branch Locations

Los Angeles, CA • United States

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • 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
Northwestern Mutual Investment Services, Llc Los Angeles CA 08/2013 06/2019
Wedbush Securities Inc. Los Angeles CA 06/2019 03/2021
Matthew Plocher Los Angeles CA 08/2016 06/2019
City National Securities, Inc. Los Angeles CA 04/2021 05/2022
Cuso Financial Services, L.P. San Diego CA 05/2022 08/2024
City National Securities, Inc. Los Angeles CA 08/2024 Present
  • 08/2013 → 06/2019
    Los Angeles, CA
  • 06/2019 → 03/2021
    Los Angeles, CA
  • 08/2016 → 06/2019
    Matthew Plocher
    Los Angeles, CA
  • 04/2021 → 05/2022
    City National Securities, Inc.
    Los Angeles, CA
  • 05/2022 → 08/2024
    Cuso Financial Services, L.P.
    San Diego, CA
  • 08/2024 → Present
    City National Securities, Inc.
    Los Angeles, CA
Previous Registrations
Other Businesses

1. NAME OF THE OTHER BUSINESS: Eastside Jiu Jitsu INVESTMENT- RELATED: No ADDRESS OF THE OTHER BUSINESS: 915 Forrest Ave, Unit A. Los Angeles CA 90033 YOUR POSITION OR TITLE: Owner NATURE OF THE OTHER BUSINESS: Martial Arts School START DATE: 04/01/2022 APPROXIMATE NUMBER OF HOURS/MONTH: 25 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS: Teach Brazilian Jiu Jitsu

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-13
  • S66 Uniform Combined State Law Examination
    2013-10-13
Other Names
  • Abraham Lopez
  • Abraham E. Lopez
  • Abraham Efrain Lopez-Mercado
  • Abraham E. Lopez-Mercado
  • Abraham Efrain Lopez

View on SEC IAPD

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